Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Tibergien's Successor Says RIA Custodial Business Is Ripe for New Pricing Model
By Bernice NapachThe goal is for Pershing to become "the largest and most significant player" in the RIA custodial space, Ben Harrison says.
February 27, 2020
First Republic Add 3 Female Wells Fargo Advisors: Recruiting RoundupMeanwhile, Merrill Lynch names a new market chief, Kestra draws reps from rivals, and RIA M&As continue.
February 26, 2020
Two LPL Attorneys Picked as National Diversity FellowsThe news comes a month after the firm received a perfect score for its LGBTQ workplace-equality policies and practices.
February 26, 2020
How Schwab Plans to Sweeten the Deal for Small RIAs After TD Ameritrade MergerTom Bradley and Bernie Clark talked to ThinkAdvisor about plans for a "best in breed," open-access platform.
February 26, 2020
Commonwealth Grabs Fidelity Exec to Lead RIA EffortsMatthew Chisholm's hiring comes "as our industry continues to shift to fee-based advice," said CEO Wayne Bloom.
February 25, 2020
How 'Tough Love' Prepped Erinn Ford to Lead Billion-Dollar FirmsHer mother "was such a pioneer" starting out in the advisory field in 1975, says the head of KMS Financial.
February 24, 2020
$250M Merrill Team Goes Indie in TexasRobert Gilliland spent more than 20 years with Merrill before moving to Sanctuary Wealth's network and platform.
February 24, 2020
Raymond James Launches Pre-Advisor Training ProgramMore than 70% of the inaugural class are people of color or women.