People Moves Related to "This father-daughter-son team survived 9/11 but divorced Wall Street altogether 14 years later"
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NewEdge has a 1099, W-2 and RIA channel and wants to take down wirehouses -- so it hired a 17-year Morgan Stanley executive who just spent seven years at the Mark Zuckerberg RIA
Dec 10, 2025The $80-billion all-channel RIA is showing it technology seriousness by making a wirehouse operations exec its CEO.
Christa Carone, an ex-Fidelity and Xerox marketing whiz, steps onto a slippery slope at LPL with a daunting task -- to consolidate a NASCAR size brand portfolio... or not?
Apr 2, 2024With no CMO since August, the chief marketing officer will play catch up for a company still hungry to buy more branded B2B and B2C players.
High wattage Shannon Spotswood starts spending Long Ridge capital on three big talents, including Abby Salameh, a 25-year veteran executive who pioneered marketing and advisor outreach
Mar 8, 2024The president of the little-known Birmingham, Ala., advisory with $4.8 billion of AUA is using freshly raised funds to bring A-listers to the staff
Rich Steinmeier power poaches Jeremy Holly, who returns to LPL as EVP to head Dan Arnold-directed 'liquidity' project to buy -- but not hold -- LPL firms
Jul 7, 2023Holly had bolted LPL for SageView with fanfare but he retained a fanbase back in San Diego which dreamed up a dream job for him
Charles 'Chuck Schwab' called James Gorman to protest a two-broker poach, kicking off a hydra-headed legal battle, costing Morgan Stanley millions, so far
Mar 9, 2023The Schwab founder and chairman invoked Charles Schwab Corp.'s zero-tolerance policy against Wall Street -- or RIA -- poaching of talent and AUM from Schwab branches.
UBS bets its 'wealth' future on ex-Schwabbie Naureen Hassan, a corporate digital A-lister, who analysts give a fighting chance to transcend PaineWebber's ossified culture
Jul 16, 2022Still a $2-billion cash-flow cow, the Swiss bank's 6,000-broker, US-based wirehouse is milking aging broker relationships with aging investors but needs a new kind of human presence, empathy, mindset and smarts to draw in Gen Z.
How a white senior vice president at an LPL OSJ came to hire a former black minister as recruiter despite the latter's pledge to make it 'uncomfortable' at times
Aug 19, 2020Rob Sandrew hit it off with Keith L. Frasier, willing to speak up on racial and racial justice issues, who also checks all the boxes for attracting talent and assets at a firm that recruited $2 billion last year
His days of playing defense done, Jeff Concepcion pinches pennies then poaches a Fidelity and Schwab veteran to execute grab for next $6 billion of AUA at Stratos
Oct 5, 2018Lou Camacho will pursue goal of $600 million a quarter in new assets on behalf of OSJ that wants much more inorganic growth