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Articles tagged "Raymond James"


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Mark Casady: When our same-store sales are up, then recruiting is typically down.

LPL, Raymond James and TD data -- and Walt Bettinger, Mike Durbin comments -- reveal rotten first quarter for breakaways

Mark Casady's explanation is hard to swallow for Danny Sarch, Mindy Diamond; Bettinger inveighs against 'rat trap' of checkbook recruiting; Ryan Shanks says advisors are "numb to the chaos"

April 26, 2013 at 5:17 PM

Rex Whiteside: Wealthy people are also craving coordination among their own advisors.

Two Raymond James advisors relate details on how they segmented clients to get big and successful

At the broker's annual event in Dallas, two advisors told their stories with generous details

April 25, 2013 at 7:23 PM

Scott Curtis says the payout changes were made with RIA custodians like Schwab, TD Ameritrade and Pershing in mind more than broker-dealers.

Raymond James launches 'phenomenal' RIA-like pay structure to the $100 million set

The custodian hopes its keep-all-the-gravy pay scheme will keep its own advisors from defecting and win would-be RIAs

March 19, 2013 at 7:52 PM

Douglas Hodge: We privatized profit and socialized losses.

New York conference: SIFMA wants members to be like RIAs -- minus the same rules of accountability

Alan Greenspan jumped in on the mea-culpa-fest that included bracingly frank comments from a top Pimco official

October 24, 2012 at 5:32 AM

Meg Green: If you ask a question, I'm going to answer.

Sterne Agee makes its RIA custody debut after customizing for Meg Green's $650-million RIA

It started as 25 people with notepads and Southern accents surrounding the Royal Alliance-using Miami--based advisor principals

September 5, 2012 at 4:50 AM

Sheri Smith was hired to create a river of referrals flowing to United Capital's 38 offices

United Capital makes three exec hires, including a veteran recruiter from Raymond James

The big Newport Beach, Calif.-based RIA and consolidator is putting big dollars toward turning existing offices into marketing and recruiting machines

July 11, 2012 at 2:09 PM

Chip Roame sees a coming explosion of discount brokerage branches.

8 notable takeaways from the spring 2012 Tiburon CEO Summit

The breakaway movement still depends more on Wall Street's moves than Main Street's moxie

April 18, 2012 at 5:58 AM

David Lo: Firms struggling with the key best practices identified in the study are also paying the highest retention and signing bonuses.

J.D. Power and Associates hints strongly at wirehouse deficiencies as it puts Commonwealth Financial and Raymond James on a pedestal

The two firms ranked one and two for independent advisor satisfaction among financial investment firms; Schwab is third in the employee-advisor category

March 29, 2012 at 10:34 PM

Bill Van Law: The RIA space is where the growth is. We looked at it and said: "We're not really capturing it"

Raymond James launches a separate RIA unit and appoints a former Merrill Lynch breakaway to head it

Calling the RIA business a 'strategic imperative', Chet Helck is making Bill Van Law the founding president of the RJ investment advisors division

February 13, 2012 at 5:58 PM

Mike DiGirolamo: We've been working on this for about two years.

How some RIAs are starting to end up with Raymond James as their custodian

Five are joining RJ from a Buffalo, NY B-D that is closing its doors after 80 years

December 22, 2011 at 4:01 PM

Scott Curtis: Going over to the independent contractor model is kind of like going back to where I started.

With Dick Averitt retiring, Raymond James taps a star from within to take on LPL

Scott Curtis' background includes GE Financial, Raymond James and life as the son of a Dartmouth coach

December 8, 2011 at 6:13 AM

Catie Tobin: RBC intends to double its RIA assets from $10 billion to $20 billion by 2015.

A peek inside the rising RIA custodians fighting to overtake the Big Four

RBC, LPL, TCoA, Scottrade and National Advisors Trust are all pushing to gain the critical mass to get past also-ran status

November 29, 2011 at 5:44 AM

Jim Weil: There was no straw that broke the camel's back. There was no dirty secret.

Big Chicago advisory firm exits Raymond James; forms its own RIA with Pershing

After a dozen years with the big broker-dealer, the group saw advantages to using NetX360 and working with Mark Tibergien

October 7, 2011 at 2:38 PM

Andrew Rogers: A robust sales function is also crucial to an advisor's successful fund launch.

Why many RIAs should start a mutual fund, considering the limitations of SMAs

A little daunting, sure, but advisors - especially ones geared to serving the mass affluent - will find the extra effort worth it

October 6, 2011 at 2:36 PM

Tim Oden: If clients fire the market then they don't need financial advisors.

The booming breakaway market could be slowed by the sick stock market, say Raymond James and Schwab

Dislocation at places like UBS and Merrill Lynch helps recruiters until the point where clients are thoroughly spooked

September 23, 2011 at 4:06 AM

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