With Ban on Non-Competes in Limbo, Forfeiture Provisions Face Legal Scrutiny
By Robert Bloink and William H. ByrnesCourts and the Federal Trade Commission address limits that employers place on departing employees' options.
February 11, 2025
What Clients Really Want to Hear From Advisors: Ex-Merrill ExecJohn Thiel, who just launched an RIA, discusses what he seeks in advisors and why he left Merrill.
February 07, 2025
Why Advisors Are More Than Happy to Leave the WirehousesHeadcounts at these large Wall Street firms keep shrinking. Here are five reasons why.
January 31, 2025
7 Do’s and Don’ts When Changing Firms or Breaking AwayBrandy Weiberg of Wealthcare Capital has supported more than 100 advisors as they have transitioned their businesses.
January 31, 2025
Raymond James Beats Estimates, Stops Reporting Quarterly Advisor HeadcountIndustry watchers say they don’t see a downside to the firm's new approach to disclosing this data.
January 27, 2025
A Pitch to Small Indie Advisors: Serve Your Clients, and We'll Provide the ToolsServing advisors who want to keep their independence is a "growing piece of the industry," Tom Prescott says.
January 27, 2025
LPL Recruits $1.3B Father-Son Duo From UBSWilliam “Bill” Bruen Jr. and Andrew Bruen have joined the independent broker-dealer in New Jersey.
January 24, 2025
Diamond Consultants Moves Into Executive SearchThe firm recently hired executive-search recruiter Jamie Campbell to lead this effort, says Louis Diamond.