Articles tagged "Convergent"
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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 at 10:46 PM
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 at 5:55 PM
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 at 10:53 PM
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 at 6:02 AM
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 at 7:44 AM
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 at 5:13 AM
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 at 6:43 PM
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 at 11:00 PM
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 at 11:43 AM
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 at 11:30 AM
In its latest talent grab, Evercore Wealth Management hires a 'young, up-and-coming player'
The $3.2 billion RIA is mostly made up of seasoned of ex-U.S. Trust stalwarts but its poach of Paulo Coelho from Convergent shows its mindfulness of the coming generation
April 9, 2012 at 2:20 PM
New M&A firm with Putnam Lovell alumni appears on the wealth management landscape
Mitchell Hartley straddles world of asset management and wealth management
February 23, 2010 at 6:19 AM
Page One Wall Street Journal article is a 'home run' for the RIA industry
Story's impact could exceed New York Times article about Smith Barney breakaway two years ago
January 5, 2010 at 7:26 PM
Charles Schwab will speak and his fellow CEOs will listen
Schwab chairman gets short-changed one award, says other recipient
October 2, 2009 at 4:57 AM
The transition process is still too rough for gusher of breakaway advisors
Aggregators are showing the way in smoothing the bumps
