Articles tagged "Convergent"


HeadlinePublish date

A wider window opens on David Zier tragedy as Convergent is made to pay and FINRA and SEC make themselves scarce

The life insurance on the suicide was executed with chilling precision by the ex-CEO and the CFTC was called in to do the regulatory dirty work

January 6, 2017 — 10:46 PM UTC

Debriefing a post-Convergent Steve Lockshin as he once more builds a classic RIA -- or is it neo-classical?

AdvicePeriod's chief says he won't poach Convergent (if he can avoid it) and hopes that his $300-million RIA will have a Betterment feel

January 8, 2015 — 5:55 PM UTC

With Convergent experiencing advisor exodus, City National takes greater control of the RIA

Doug Wolford gets a vote of confidence from his City National-controlled board of directors and he references a new five-year plan of creating a 'professional management structure'

December 6, 2014 — 10:53 PM UTC

Convergent Wealth begins to pick up the pieces after David Zier's death

The $9.4-billion RIA is said to be facing massive challenges in retaining advisors and clients -- rumors discounted by CEO Doug Wolford

November 4, 2014 — 6:02 AM UTC

The 2013 MarketCounsel Summit is heavy on future shock

A Cassandra-like Steve Lockshin lead the gloomsters, Team Tech protested that the future is bright and Frank & Dodd laid an egg

December 16, 2013 — 7:44 AM UTC

An LPL-ified Fortigent bursts back on the scene with new software, new pricing and a surge of growth

After a tense waiting period, the outsourcer is unveiling alternatives to six-figure research contracts and the launch of an online portal for all services

October 14, 2013 — 5:13 AM UTC

Chip takes a 90-minute rip at wealth management at the Tiburon CEO Summit

The event's name oozes self-importance until Roame takes the stage and blasts everybody, himself included

October 9, 2013 — 6:43 PM UTC

What led to Advizent's end and why Steve Lockshin is unfazed, even energized

The RIA business -- including custodians, asset managers and advisory firms -- lived up to its reputation of resisting cooperation

May 15, 2013 — 11:00 PM UTC

Advizent will close its doors after a final flurry of negotiations

Charles Goldman and Steve Lockshin had a moment of truth after receiving offers for funding

March 28, 2013 — 11:43 AM UTC

Advizent makes Jack Bogle its standards czar, a no-pay, no-conflict position

The RIA brand will depend on a gold standard of rules and audits

July 31, 2012 — 11:30 AM UTC