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RIAs drive explosive growth of the Broker Protocol; signatories triple

The wirehouse legal truce is now a poaching tool for advisory roll-ups; Merrill Lynch applauds its wide use

Author Elizabeth MacBride November 17, 2009 at 4:49 AM
1 Comment
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Thomas B. Lewis: “There are RIA firms joining that are trying to recruit large producers.”

Brian Hamburger

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Thomas B. Lewis


Robert Ross

Robert Ross

November 20, 2009 — 9:25 PM

As of last week, Broker Protocol membership had increased to 380 total firms. For many firms, membership in the Broker Protocol is a fantastic recruiting tool. It will be interesting to see if the 400-member barrier is broken by the end of the year.


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Mentioned in this article:

Stark & Stark
Legal Services for RIAs
Top Executive: Tom Giachetti

MarketCounsel | HamburgerLaw
Compliance Expert, RIA Set-up Firm, Regulatory Consultant
Top Executive: Brian Hamburger



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