In the News
July 18, 2018 - The SEC on Wednesday charged an investment advisory firm based in Litchfield, Conn., and its CEO with putting $19 million of investor money, including elderly clients' retirement savings, in unsuitable, illiquid investments and secretly pocketing hefty...
August 24, 2017 - Stephanie Karpow and Robert Lester, who managed $156 million in assets at MSI Financial Services in San Diego, Calif., have joined the employee unit of Ameriprise. Ms. Karpow started her securities career in 2009 at New England Securities and moved to...
June 10, 2015 - Raymond James Financial Inc. has picked up another large team from Morgan Stanley Wealth Management, this time a $665 million unit in Grand Blanc, Mich. The team, which comprises six advisers operating as The Horizon Group, produced $4 million in revenue...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.
Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.
For comments or suggestions about the Adviser Center, please contact us.
Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.
Updated guidelines and some of the first-ever rule enforcements signal that regulators are getting serious about holding firms accountable for data breaches, according to special projects editor Liz Skinner and technology reporter Ryan Neal.
Latest news & opinion
The data appeared in three spreadsheets, linked on one of the New York-based company's web pages dedicated to its iShares exchange-traded funds
Millennials love it, advisers don't: Turns out, extreme early retirement is a suitable goal for almost nobody.
These 10 American schools have the greatest number of alumni who are billionaires.
The markets took a beating last year, but these exchange-traded funds bucked the trend
Net flows into mutual funds and ETFs were the lowest since the 2008 financial crisis, while money-market funds captured inflows.