ADVISOR MOVES: TOP INFLUENCING FACTORS IN 2020

Accelerated Exec Departures At Envestnet

ADVISOR MOVES: TOP INFLUENCING FACTORS IN 2020

ADVISOR MOVES: TOP INFLUENCING FACTORS IN 2020

In 2020 we saw our worlds flipped upside down and found ourselves adjusting to a new normal filled with face masks and working from the comforts (or not so comforts) of our homes.  Through unprecedented challenges, advisors continued to switch broker-dealers. With everything going on, it’s only natural to say to yourself: “Why would I […]

Positive Changes To Regional Roles At Wells Fargo; Adds JPM Leader To Roster

Positive Changes To Regional Roles At Wells Fargo; Adds JPM Leader To Roster

Wells Fargo Advisors has made some remarkably positive strides in executive leadership, showcasing the strength and depth of its talent pool with the recent promotions of Barry Simmons and James Craven, as announced in a memo to employees by Sol Gindi, the head of Wells Fargo Advisors.  Barry Simmons, who made a significant career move […]

3 Of The Biggest Advisor Moves Of Q1 (And Why Your Move Might Be Next Up)

3 Of The Biggest Advisor Moves Of Q1 (And Why Your Move Might Be Next Up)

The first quarter of the year witnessed several notable moves within the industry, showcasing both the continued competition among firms vying for top talent as well as comfort among advisors (and their clients) spurred by a calming of the markets.  Factors remain in place that should be viewed as encouraging by advisors curious to explore […]

5 Essential Strategies to Cultivate a Coveted Book of Business

5 Essential Strategies to Cultivate a Coveted Book of Business

In the competitive world of financial advising, the value of your book of business can make or break your career. A robust and sought-after book of business doesn’t just happen overnight; it’s the result of strategic planning, relentless dedication, and a commitment to excellence. Here are five indispensable strategies to develop a book of business […]

5 Ways To F*^k Up Your Transition

5 Ways To F*^k Up Your Transition

While our goal is to be as positive as possible on our blogs and podcasts about transitions, the truth is now and again we come across situations where people have majorly screwed things up for themselves. In the spirit of learning from other’s mistakes (and maybe laughing just a bit), here are 5 ways to […]

The Perils Of Outside Business Activity

The Perils Of Outside Business Activity

Another FINRA classic when it comes to enforcement action; and this time the spotlight shines on William D. Williford, a seasoned financial advisor with nearly half a century of experience at Morgan Stanley and its predecessor firms. Opting to conclude his illustrious career rather than engage in a legal battle with the Financial Industry Regulatory […]

Understanding Bitcoin: An In-Depth Guide for Financial Advisors and Wealth Management Clients

Understanding Bitcoin: An In-Depth Guide for Financial Advisors and Wealth Management Clients

Over the last decade, Bitcoin has transitioned from a niche digital curiosity into a mainstream financial asset, attracting attention from individual investors, institutions, and governments alike. This transformation has been accompanied by significant volatility and a complex underlying technology, posing challenges and opportunities for wealth management clients. For financial advisors, it’s imperative to develop a […]

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