Articles tagged "CONCERT"

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CONCERT attracts $1.7 billion of 'AUA' after its AUM attracts the unwanted attention of the SEC

The SEC found that the 'wirehouse lite' company was light on truth about its AUM and made it pay

August 4, 2016 — 10:09 PM UTC

Securities America's RIA/roll-up launch gains ground by pushing back against its parent IBD and poaching an RIA that left it at the altar

Omaha's Arbor Point lured away the founders of a local rival and chafes against its parent firm but estranged advisors still share church pews

June 10, 2014 — 5:43 PM UTC

With LPL as its new BFF, CONCERT seeks bigger game and more RIAs

San Jose-based firm wirehouse-lite is up to $3 billion of AUA but was hitting roadblocks with some bigger candidates that it believes LPL technology and RBC big-boy services can remove

April 18, 2013 — 6:36 AM UTC

Myles Pritchard thought it was better in the Bahamas and Merrill Lynch didn't -- so he left for life with CONCERT Wealth Management

With half of his clients offshore, the LA advisor grew disenchanted with Merrill's lack of appetite for international business

April 6, 2012 — 5:12 AM UTC

The top 10 people to watch in the RIA business in 2012, Part 2

Keeping an eye on those gaining the most ground in the fleet-footed RIA industry

March 13, 2012 — 4:18 AM UTC

Veteran Merrill Lynch manager leaves seven registrations on the table to return to his pure-RIA roots

Fed up with BofA and faced with a choice between managing advisors and being one, Brad Stratton moves to CONCERT

February 22, 2012 — 4:08 AM UTC

Wirehouses will create their own independent models, Tiburon report says

WIll 2012 be the year that wirehouse 'halfway houses' catch fire?

January 19, 2012 — 6:28 AM UTC

How a former Barron's top advisor was able to offload 350 clients and raise profits after leaving UBS

The wirehouse breakaway finds he also has a new social status and the ability to win $19-million clients

December 7, 2011 — 7:37 AM UTC
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