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Articles tagged "Commonwealth Financial Network"


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Tom Nally: It was a small network of folks and it was referrals; they’ll tell you who their friends are.

TD Ameritrade makes a clean sweep of five IBD reps in New England with about $1 billion of combined AUM

The five big Commonwealth advisors had some knowledge of each other but made their own decisions

April 18, 2011 at 1:57 PM

Mike McNamara: The numbers were staggering.

How Mike McNamara became a TD Ameritrade RIA and pruned his book in one move

The former Commonwealth advisor also had goals related to succession, compliance and a bigger bottom line

April 7, 2011 at 1:56 PM

Barnaby Grist: "We’re big enough where we can spend a lot of money. We’re ready to show the world. We want them to come look at us."

Cetera's big fee move with a game-changing twist

Barnaby Grist has been laying the groundwork for the incentives change for a year

March 18, 2011 at 1:51 PM

Wayne Bloom knows first-hand that his advisors are being courted by other firms.  “I even had an RIA try to recruit me."

Commonwealth raises payouts for big advisors and slashes trading commissions

The IBD is competing with LPL, holding ground against RIAs and flexing its muscles, analysts say

March 14, 2011 at 2:09 PM

Eric Schwartz: The SEC and FINRA obviously didn’t ask the right questions when they were in Madoff’s office. So, there’s a much higher burden (now) and they don’t go by the same cook book.

Cambridge, Commonwealth see reverse breakaways due to compliance fears

Some IBDs are morphing into Super RIAs that make money by charging for oversight of fee-based assets

March 7, 2011 at 1:29 PM

Jim Warren: I promised Art [Tambaro] I would seek out reasons to stay as opposed to reasons for leaving

Why a Royal Alliance champion gave up the cause after AIG made changes

Jim Warren made personal pleas to Art Tambaro but a small IBD nabbed his RIA

December 7, 2009 at 5:09 AM

Thomas McGuirk: I didn't like the person I was during those three months

The number one obstacle to completing a clean breakaway from a wirehouse

Leading a double life is not for the faint of heart

October 5, 2009 at 7:50 AM

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