Sep 28, 2016
Cornered by custodial edicts, CONCERT exits RIA business in deal with Arkansas-based white knight
Bill Sowell's first order of business is to keep the advisor crew on board, using as one sop the familiarity of CONCERT's proprietary CRM
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Felipe Luna
12 articles
Articles tagged "Felipe Luna"
Aug 4, 2016
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
Jun 10, 2014
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
Apr 18, 2013
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
Aug 21, 2012
How CONCERT is leveraging a full-service alternatives platform to boost its carriage trade clientele
CONCERT sees CAIS catering to the $200 million-plus set while its current alts provider tends to those who may like their hedge funds in mutual-fund wraps
May 17, 2012
Why one UBS advisor broke away even knowing that his former partner would keep the 401(k) assets
Christopher Mason is establishing Fontis as part of CONCERT but hasn't given up hope of selling his portfolio management skills on UBS' platform
May 7, 2012
She settled with Merrill Lynch over discrimination, loved Merrill again for years but then bigger problems arose
A lover of the herd, Leslie Ferrone couldn't stomach the bankification of her wirehouse
Apr 6, 2012
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
Mar 13, 2012
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
Feb 22, 2012
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
Sep 27, 2011
CONCERT Wealth Management nabbed 12 wirehouse teams in the last 12 months and this wirehouse-lite is just getting started
The San Jose-based firm targets advisors with as little as $100 million and it doubled in size in the last year