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Articles tagged "Diamond Consultants"


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Louis Diamond: It’s a black eye to the new CEO, especially with all the rumors of a sale.

LPL fires $10 billion RIA in Kansas City with both parties happy to keep the rift's cause out of view

With fiduciary rules, the economics of RIA custody and LPL fresh off a CEO departure, Resources Investment Advisors Inc. with $4 billion of its own and $6 billion of affiliated assets, declines to say if it's found a new home

February 3, 2017 at 7:17 PM

Brian Cooke with brother Chris: Normally when you leave it’s in the middle of the night and not out the front door.

Wells Fargo $1.7 billion 'Profit-Formula' group executes breakaway with help and of ... Wells Fargo

Cooke Financial Group of Indianapolis left the wirehouse in a broad daylight, front door exit with some diligent help of from their bosses

December 2, 2016 at 12:19 AM

Wayne Bloom: If the facts and circumstances change we will modify our stance accordingly.

Commonwealth Financial will reverse course on commissions if DOL gets reversed

The Waltham, Mass. IBD's stance jibes with Wayne Bloom's earlier message of regulatory risk and reward as Merrill Lynch stays mum

November 18, 2016 at 6:02 PM

Howard Diamond: Advisors are reconsidering what’s most important to them, with a push from the very firms they have come from by way of less monetary incentive.

Why the DOL's Draconian and premature interpretation of its new rule is the 'end of the world as we know it' for wirehouse recruiting but a bonanza for the RIA business

Last week's DOL Q&A cast an immediate chill on wirehouses whose back-end-loaded incentives meant to jack up sales production have essentially been outlawed

November 4, 2016 at 4:02 PM

Robert Dineen: We thank Larry Roth for his many contributions to our company, and welcome his assistance through the transition.

PE-backed Cetera board member Robert Dineen sees Larry Roth to the door, takes CEO reins

A former secret service agent and Merrill Lynch exec, Robert Dineen is known for leading by example and delivering results

September 2, 2016 at 8:08 PM

Joan Khoury: What I'm drawn to here is the ability to create the narrative and the story. This firm isn't as well known but it has good name recognition.

Joan Khoury gets hired as CMO to revive brand of the other Oppenheimer

LPL's ex-marketing chief comes to the long-forgotten wirehouse believing its long history provides grist for a compelling narrative

January 5, 2016 at 11:10 PM

If Focus Financial has an IPO, the vultures may feast first, best.

Report: Focus Financial is preparing SEC paperwork for its initial public offering -- but is it jumping the gun?

With $325 million in revenues, the jumbo New York roll-up seeks to assuage a host of liquidity challenges

July 7, 2015 at 3:36 PM

Danny Sarch: I don't think this is desperate at all. If you don't have money, then you can't make the deals.

Ameriprise makes its move upmarket by first moving its bonus payouts to Wall Street levels

The Minneapolis-based broker jacks its sticker bid to 150% bonuses of brokers' last 12-months of revenue

June 13, 2014 at 2:30 PM

Nicolas Schorsch is known as a man of his word but his word is not fully known on products.

Nicholas Schorsch invites 500 reps to NYC to kick off a 25-city barnstorming tour aimed at easing fears

A blizzard of conference calls with the RCS chairman have only had a band-aid effect so the more personal assault is on

January 29, 2014 at 2:36 PM

Mike Papedis: We are not engaged in responding to gossip and we are sticking to our business strategy.

Top recruiter Kevin Geary exits HighTower

The departure of the acclaimed Schwab veteran is a palpable sign for some that the roll-up is going in a new direction

January 27, 2014 at 6:27 PM

 Raymond James recruited Becky Wiles, Terry Wiles, Heather Monzote, Ryan Smith and two hound puppies, Maia and Sky, in December.

The story behind how Raymond James won two big teams from LPL and Wells Fargo in the past couple of weeks

When the mid-sized Florida broker-custodian takes on bigger giants, it plays the little-guy card

January 7, 2014 at 8:47 PM

Patrick Burns: The shift was sudden.

Backs to the wall, wirehouses renew legal efforts to stem team breakaways -- with junior partners sparking the tension

Lawsuits by Merrill, UBS, Morgan Stanley have been spiking in recent months, according to industry observers and lawyers, and it can take precious time and big money to make them go away

October 23, 2013 at 5:53 AM

Sharon Miller: We partner back and forth between Merrill Lynch and Merrill Edge so it is seamless.

The amazing success of Merrill Edge and why some legacy Merrill brokers think it's eating their seed crop

It won $87 billion in brokerage assets in three years, but some old Merrill Lynch vets say it's just pulling emerging accounts away from thems

September 23, 2013 at 6:30 PM

Ryan Marcus: My job is to bring them to the big dance.

After a head-fake, Royal Bank of Canada shows it's back (or never left) in the RIA game with two NextGen hires

100 brokers have moved to RBC's broker dealer or RIA unit in the last 4 years though some recruiters need convincing that the RIA unit is more than a retention tool

September 5, 2013 at 8:02 PM

Wayne Bloom: If we have an advisor who wants to be part of the community and values what we bring to the table, I could care less how they are registered.

Commonwealth and Securities America get into the RIA custody business and Wells Fargo is right behind them

IBD execs are pulling out the stops to court a finite pool of advisors in motion

June 12, 2013 at 5:51 AM

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