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       * * US Economy Shows Signs of Downshifting as Rates, Inflation Bite
       * * UBS to Claw Back $2.3M from Ex-Broker But Must Revise Termination
           Language
       * * Wells Fargo CEO: We Love Our Wealth Business
       * * Biden, in Rare Powell Meeting, Seeks to Deflect Inflation Blame
         
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       * * Rockefeller Lassoes $2.2-Mln Solo UBS Private Wealth Broker in Dallas
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       * * First Republic and UBS Pluck Managers from J.P. Morgan Advisors on
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       * * First Republic to Pay $1.8M to Settle SEC Charges over Revenue
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Search for: Search

UBS to Claw Back $2.3M from Ex-Broker But Must Revise Termination Language
Wells Fargo CEO: We Love Our Wealth Business
Wells Fargo Tightens Rules on Cash in Advisory Accounts


MUST READ

Resources

A new stable of financial advisors are stepping up to help the next generation
Resources

Hilltop Securities: Municipal Bonds are an Exceedingly Appealing Fixed Income
Opportunity Right Now
Breakaway Center

The Key to Building a Sustainable Enterprise: Attract and Retain G2 Advisors
News

US Economy Shows Signs of Downshifting as Rates, Inflation Bite


Video

Alaris Acquisitions: What are the Pathways to Finding the Right Partner for Your
Firm
Video

Benjamin F. Edwards: Three Things to Know & Watch – May 23, 2022



MARKETS

Markets Resource

US Manufacturing Growth Unexpectedly Firms on Stronger Orders
Markets Resource

Tesla’s Loyal Retail Fan Club Set to Rev Up Stock’s Recovery
Tesla Inc.’s grip on its retail trading fans is hard to shake. Retail buyers
have remained steadfast even as the company’s troubles have mounted since...
Markets Resource

Zombie Firms Face Slow Death in US as Era of Easy Credit Ends
They are creations of easy credit, beneficiaries of central bank largesse. And
now that the era of unconventional monetary policy is over, they’re facing a...
Markets Resource

Mega-SPAC Mints a $21 Billion Fortune That Collapses in Minutes
If the SPAC craze is over, it’s going out with a bang by making a Miami lawyer
who has owned speedboats named “Class Action” and...
Sectors

A Global Stock Trader’s Guide to Navigating Food Protectionism
(Bloomberg) -- From US-listed commodity traders to Thai poultry producers,
equity analysts are lining up their bets on who will come off better -- or...


FA PROFILES

Advisor Profiles

Mariner’s Christine Wentzler Gets a Surprise, Then Makes the Most of It
There are pleasant surprises, and not so pleasant ones. When Christine Wentzler
left her old firm to join Mariner Wealth Advisors, she had some pretty...
Advisor Profiles

Bill Krivicich Builds an RIA Practice with an Eye on Multi-Generational Wealth
When William (Bill) J. Krivicich talks about legacy, having clients for decades,
and ultimately working with their kids, the authenticity is palpable. Krivicich
has put...
Advisor Profiles

Valbona Ceci, CFP®, Proves the American Dream is Alive and Well
The odds were stacked against Valbona Ceci, CFP®, from the beginning. Born and
raised in Albania, her command of the English language was shaky at...
Advisor Profiles

Guy Spier on Rethinking Value Investing
Every February, Guy Spier, the founder and Chief Investment Officer at
Aquamarine Capital Management, throws a party for his investors, partners, and
friends, who have...


ADVISORHUB MAGAZINE

Magazine Article

The Great Entrepreneur Revival
Magazine Article

An Intensely Personal Business
Magazine Article

Penny Pennington: Shaping a New Advisor World
Magazine Article

Big Cap Tech ETFs Buffer Rising Rates Better
Magazine Article

The Power of Choice
The momentum of advisor transitions has continued to develop at such a rapid
pace that it is not a matter of if an advisor will...
Magazine Article

Active Management For Retirement Income
Central bank officials have signaled more target interest rate hikes starting in
2022, and continuing through 2023. Savers must navigate an environment where
yields are...
Magazine Article

A Year in Transition
The past twelve months have been hectic for breakaway advisors and recruiters.
In 2021, the number of RIAs jumped by 3,280 and IBDs grew by...
Magazine Article

How Hilltop’s John Muschalek Came to Own the Street You Live on
Who? What if I told you that the number two muni firm in the nation was also the
third largest clearing firm in the country,...


RECRUITMENT & MOVES

Recruiting Wire
See Which Firms Are Winning the Recruiting Wars
AdvisorHub Offers
Secure Multiple Offers From Top Broker-Dealers
Deal of the Day
Upfront payment: up to 100% cash and up to 100% in equity
Press Release

Benjamin F. Edwards Opens 87th Branch – Its 2nd Branch in Wisconsin


UPFRONT DEALS AND COMP

1. Avantax Wealth Management
May 17, 2022
2. Alaris Acquisitions
May 11, 2022
3. Concourse Financial
May 26, 2022
4. RBC Wealth Management
Dec 29, 2021
5. Stifel
Nov 14, 2016
6. Benjamin F. Edwards
Sep 13, 2021
7. Edwards Wealth Management
Sep 13, 2021
8. Kestra Private Wealth Services
Jun 22, 2021
9. B. Riley Wealth Management
Aug 9, 2018
10. Mariner Wealth Advisors
Jul 14, 2020
11. First Clearing
Jun 2, 2021
12. D.A. Davidson
Mar 14, 2018
13. Dynasty Financial Partners
Nov 14, 2016
14. Ameriprise Advisor Group
Jun 22, 2021
15. Ameriprise Independent Advisors
Jun 22, 2021
16. Pinnacle Investments
Jun 9, 2021
17. Janney
Nov 14, 2016
18. LPL Financial
Nov 14, 2016



BREAKAWAY CENTER

Breakaway Center

Break-Away RIAs and Annuity Trails
Annuities have been a good choice for many clients who struggled through the
2008 market decline.  Many annuities offered at the time provided guaranteed
retirement...
Breakaway Center

Create a Content Marketing Strategy to Win Clients
As an independent financial advisor, you know the growth of your business hinges
on a steady stream of new clients. One way to ensure that...
Breakaway Center

Setting Your Firm Up for Success: Choosing an Office Setup
By now, we’ve all seen that we can work—and even thrive—in a remote environment.
If you’re considering opening your own independent firm, you may wonder...
Breakaway Center

Preparing for the Unexpected: Your Business Continuity Planning
As an independent advisor, preparing for an emergency is a critical part of your
business plan. Although you can’t predict natural disasters or other
disruptive...


RIA CENTER

RIA Resource Center

How Much Can You Grow as an Independent Advisor?
  What's going independent really like? Two advisors discuss their newfound
growth in the RIA channel.
RIA Resource Center

What to Expect When Transitioning to Independence
  The day advisors leave their previous firm is one they never forget. Here are
their experiences.
RIA Resource Center

For today’s firms: 4 tech strategies as told by the advisors themselves.
The right tech can make life a lot easier. Learn more about cultivating it for
your firm here.  
Fintech
Fintech Product Directory
Browse this directory of innovative fintech and wealthtech solutions to find
what fits the unique needs of your business.


MOST READ

1. Wells Fargo CEO: We Love Our Wealth Business
Jun 1, 2022
2. Wells Fargo Tightens Rules on Cash in Advisory Accounts
May 31, 2022
3. “He did it!” UBS Wealth Boss Lauds Minnesota Broker’s Millionth Cold Call
May 26, 2022
4. Volatility to Spark Increased Scrutiny of Complex Products Sales, Regulators
Warn
May 26, 2022
5. Wells Fargo Advisors to Pay $7 Million Over Anti-Money Laundering Lapses: SEC
May 20, 2022



PODCASTS

 
The must listen-to podcast for financial advisors by Tony Sirianni. Guests to
include:
-Ron Kruszewski
-Shirl Penney
-Penny Pennington
-Eric Clarke
and many more

Valuable information and insight for entrepreneurs and financial advisors.
LPL Financial Research Chief Market Strategist Ryan Detrick and guests discuss
current market trends and outlooks, and share insightful projections each week.
Michael Kitces and Carl Richards discuss financial advising topics.
Our goal is to unlock the challenges to reveal the opportunities and what it
means to provide advice in the 21st century.
Powering Independence Podcast, insights and ideas for RIAs, presented by Dynasty
Financial Partners. A podcast dedicated to presenting fresh ideas and best
practices for the wealth management industry.
Interviews and insights for advisors curious about switching to a new broker
dealer.
The Brighthouse Financial Insights Panel is a group of leading, independent
experts providing powerful insights into the big challenges facing you and your
clients.
As an industry expert, Frank LaRosa provides guidance and advice on a host of
topics from recruiting and transitions, succession planning, practice
management, M&A and more.
The “new advice value stack,” and how firms can use it to help maximize their
own value propositions for their clients.
No More Entries


PODCASTS

Podcast

A Conversation with Aditi Javeri Gokhale of Northwestern Mutual
This week, AdvisorHub’s CEO, Tony Sirianni talks with Aditi Javeri Gokhale —
EVP, Chief Strategy Officer, President of Retail Investments and Head of
Institutional Investments...
Featured Podcast

How We Get Paid (And Why That Matters)
Every year, thousands of advisors make a big career move. Some go from a
wirehouse to a broker-dealer or wirehouse to RIA, and some move...
Featured Podcast

Mad Libs for Advisors
If you are an advisor considering making a move, you undoubtedly have a wish
list of the cultural, financial, and operational benefits you want your...
Featured Podcast

Is the Fed Put Dead? | LPL Market Signals
LPL Research discusses the tough spot the Federal Reserve is in and looks at
some recent mixed economic data. LISTEN TO ADDITIONAL EPISODES IN THIS...


RECRUITING WIRE SCOREBOARD

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Recruiting Winners
AUM ($ MLN)
1. Rockefeller Capital Management
$9,155

2. Cetera
$4,301

3. Ameriprise
$3,510

4. LPL Financial
$3,156

5. Janney Montgomery Scott
$3,057

View Full List >
Recruiting Losers
AUM ($ MLN)
1. Merrill Lynch, Pierce, Fenner & Smith Incorporated
$10,251

2. Morgan Stanley
$6,547

3. Wells Fargo
$6,324

4. UBS Financial Services Inc.
$2,887

5. Royal Alliance Associates, Inc.
$2,585

View Full List >
Recruiting Champs (net)
AUM ($ MLN)
1. Rockefeller Capital Management
$9,155

2. Cetera
$4,301

3. Ameriprise
$3,150

4. Janney Montgomery Scott
$3,057

5. Stifel, Nicolaus & Company, Incorporated
$2,829

View Full List >


HEADLINE NEWS

News

Biden, in Rare Powell Meeting, Seeks to Deflect Inflation Blame
(Bloomberg) -- President Joe Biden used a rare meeting with Federal Reserve
Chair Jerome Powell to declare that he’s respecting the central bank’s
independence -...
News

Ex-Morgan Stanley Broker Accepts Bar in Finra Probe of Miscoded Trades
A former 15-year veteran Morgan Stanley broker  in Albuquerque, New Mexico
agreed to a bar from the industry rather than cooperate with the regulator’s
probe...
News

Wild Five Months Leaves Wall Street Split on When Selloff Ends
(Bloomberg) -- With stocks rallying as May draws to a close, investors are
wondering if the worst of this year’s collapse is over. No doubt,...



DATA & RESOURCES

AH Institute Courses

Resources for you to revisit the basics, brush up on technical topics, or
prepare for an exam.

Podcasts

AdvisorHub delivers the financial podcasts you need to keep your career on
track. Stay informed with the latest from those in the know in the financial
industry.

Deals and Compensation

Research deals, compensation and payouts for wirehouses, RIA’s, independent and
regional firms.


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