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New Moves in the Biz

December 12, 2017 — 8:18 PM UTC by RIABiz

The former top crime compliance and operational risk control officer for UBS Americas, and before that one of the lead trial attorneys for the SEC, has joined the law firm of Bressler, Amery & Ross, P.C. as principal.

Kerry Zinn is based in the Florham, N.J.-based ...

December 12, 2017 — 4:10 PM UTC by RIABiz

Tim Chubb has been named chief investment officer of Souderton, Pa.-based Univest Wealth Management, a $900-million-AUM registered investment advisor.

Chubb began his career with Univest in 2014, following its acquisition of King-of-Prussia, Pa.-based Girard Partners Ltd., where he'd served as a financial advisor.

Founded in 1876, Univest Corp ...

December 5, 2017 — 12:54 PM UTC by RIABiz

PreciseFP​ has hired Tyler​ ​Nunnally as​ ​vice president of ​sales​ ​&​ ​marketing, tasking him with expanding institutional​ ​sales​ ​within​ ​the United​ ​States​ ​and​ ​into​ ​new​ ​markets​ ​globally.​

​The Atlanta-based data​-​management​ ​platform​ automates workflows for wealth managers with an emphasis on digital onboarding. See: How exactly ...

Maliz Beams keeps a low profile amid a series of high profile jobs.

An ex-Voya chief, Maliz Beams, exits State Department after three months

Hopes she would gel better with Rex Tillerson than she did with Voya Financial chief Rodney O. Martin Jr. were quickly dashed

November 29, 2017 — 4:02 PM UTC by RIABiz

Brooke's Note: We point out in this article that one obvious aspect of Maliz Beams is that she is a Fortune 500-style business woman. Hence she might, in theory, have been a good match for working with Secretary of State Rex Tillerson. Maybe that ...

November 27, 2017 — 8:48 PM UTC by RIABiz

Independent Advisor Alliance LLC, an investment advisory firm with $4-billion of overseen assets, has installed a 20-year industry veteran in the newly created spot of chief investment officer. 

Christopher Zaccarelli's joins Charlotte, N.C.-based IAA from Cornerstone Wealth, where he served as CIO since ...

November 27, 2017 — 8:26 PM UTC by RIABiz

Carla McCabe has joined Independent Advisor Group LLC in the newly created position of director of succession planning & practice management.

Formerly a managing director with Gladstone Associates LLC, McCabe will now focus on identifying smaller practices -- those with under $400 million of AUM. Her primary responsibilities are to ...

November 27, 2017 — 8:00 PM UTC

55ip LLC, a New York-based investment science and technology firm, appointed Dr. Leonid Kogan, an award-winning academic and a chair of the Finance Department at MIT Sloan School of Management, as chief investment scientist in October.

Kogan, who has been one of the firm’s research partners ...

November 27, 2017 — 7:39 PM UTC by RIABiz

In September, Ryan Heider took the post of financial advisor at Cirrus Wealth Management, joining his father, founder and president of the firm Joe Heider.

Ryan supports existing clients while working to grow the business and reach a younger client base at the Cleveland-based firm.

“After ...

November 14, 2017 — 5:49 PM UTC by RIABiz

After eight years at Goldman Sachs Asset Management as vice president and divisional sales manager for its wirehouse and regional broker-dealer distribution channel, Ryan Robertson is now national sales manager for FS Investments, an alternative asset manager with $20 million under management. See: FS Investments ...

November 8, 2017 — 4:32 PM UTC by RIABiz

Brian Gerson has joined FS Investments, a Phllly-based alternative asset manager with more than $20 billion in assets under management.

In the newly created role of head of private credit, Gerson will oversee FS Investments' expanding business development company and credit platform. Based in New York, he will report directly ...

November 1, 2017 — 12:05 AM UTC by RIABiz

John Lynch has joined LPL Financial as executive vice president and chief investment strategist, leading the 12-person Investment Research team and reporting to chief investment officer Burt White.

Lynch, a 30-year industry veteran, joins the large broker-dealer from Wells Fargo, where he has worked in ...

October 17, 2017 — 7:47 PM UTC by RIABiz

Mercury Financial Group, a Dallas-based advisory firm for financial advisors specializing in wealth management strategies and insurance for high-net-worth clients, has hired Corey Culp-Ramsey as vice president/planning specialist. She is tasked with bringing aboard institutions, wirehouses, RIAs banks and family offices in the Dallas/Fort Worth area.

Culp-Ramsey, who holds Series ...

Mike Durbin: The number one thing I will do in this job is serve as chief advocate for our clients.

'No BS' Mike Durbin leapfrogs up the Fidelity Investments ladder but can he serve RIAs, eMoney and Abby?

RIAs run out of superlatives for the eight-year exec's ability to 'get it' at both the intrapreneurial and entrepreneurial level as he ascends to president of $2.3-trillion Fidelity Institutional

October 6, 2017 — 8:06 PM UTC by By Lisa Shidler

Brooke's Note: It bears repeating. Fidelity Investments is both a giant mom and pop business and one of the more corporate corporations you'll ever run across -- and that is why it remains on top of the heap with more than $6.2 trillion ...

The ex-Betterment unit heads up Charles Schwab & Co's. robo-voltage at a critical phase.

Exploding to near $24 billion* of assets under automation, Schwab creates robo-exec slot and fills it with ex-Betterment unit chief

Cynthia Loh puts fresh face on Schwab Intelligent Portfolios and Schwab Intelligent Advisory as Betterment puts out a help wanted sign

October 3, 2017 — 7:58 PM UTC by Lisa Shidler

Brooke's Note: This article needed careful construction because it touches a handful of high-voltage lines. Cynthia Loh departed the number one VC-backed robo in Betterment, where she led the 401(k) side, to join the number one robo-advisor -- period -- in Schwab. This seems to indicate a ...

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Peter deSilva will be president of retail distribution at TD in October after less than two years at Scottrade.

A look inside the agonizing decision to cut Tom Bradley from TD Ameritrade and what doesn't seem to add up

CEO Tim Hockey accords Peter deSilva a cultural edge as retail chief though Scottrade only hired him in 2016 -- either way there's 'no place' for Bradley after a 30-year run at TD

September 21, 2017 — 6:31 PM UTC by Lisa Shidler

Brooke's Note: Not once did I hear speculation that Tom Bradley's fate was hanging in the balance. Bradley just seemed to be hitting his stride in bringing his winning RIA ways to TD's branches, which are morphing into more RIA-like entities. Never mind that in ...