Articles tagged "Smith Barney"


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Lebenthal breakaways stake out a pricey swath of the Hamptons the better to entice wealthy society types who now live there year-round

YorkBridge Wealth Partners is occupying Lebenthal's old digs in Southhampton, the better to scope out UHNW luminaries

August 9, 2016 — 11:23 PM UTC

LPL taps the man who saved Morgan Stanley's bacon to take service to a Schwab RIA-level echelon

Tom Gooley sacrificed 36 weekends and a happy home life in Larchmont to smooth the way for 15,000 stockbrokers in the biggest wirehouse merger ever

June 29, 2015 — 6:33 PM UTC

How heavy the lifting was to get a $1-billion wirehouse team to independence in 2014 after a de facto false start in 2007

Kneen and Clayton were still on Windows 2003 version at UBS, a metaphor for why they have moved to Focus Financial and Tamarac software

February 7, 2014 — 6:20 PM UTC

This $9-billion Philly RIA is launching an ETF company financed by Chinese private equity

Vince Lowry, an ex-cop and Smith Barney managing director has made a big bet on Chinese ETF market that's mushroomed from $12 million $38.8 billion in the last decade

June 21, 2013 — 1:13 PM UTC

Why you won't know your female clients are unhappy until they're out the door

By 2020, women will control $22 trillion -- 25% more than today's national debt; that's not a segment you can afford to lose

April 24, 2013 — 5:08 PM UTC

Krawcheck reveals: What I learned when I got fired (the first time)

The veteran of more than one bum's rush tells what really sealed her fate at Smith Barney

November 28, 2012 — 4:04 AM UTC

In a Q&A, Todd Thomson explains why Wall Street's glitter faded beside Dynasty opportunity

The former Smith Barney chief is mentoring his young colleagues and raising capital from Wall Street veterans

March 24, 2011 — 2:51 PM UTC

Pershing wins Citigroup account and will support its RIA referral network

The win is 'huge' and affirming of NetX360 because the account is big, branded and exclusive, analysts say

December 16, 2010 — 1:55 PM UTC

What exactly is Dynasty Financial Partners and why is the Smith Barney execs' startup gaining so much attention?

Some combination of a bold business model, powerful backers and good PR -- lawsuit aside -- made for a good break out of the gate

December 13, 2010 — 2:05 PM UTC

The hidden dangers of hiring a laid-off Merrill broker

Who you bring on board says volumes about your firm's brand

December 13, 2010 — 1:58 PM UTC

Finding greater advisor satisfaction at the wirehouses, Cogent study concludes the breakaway surge is over

For the first time in history, the majority of advisory compensation comes from fees; plus 9 other findings from one of the year's most ambitious surveys

September 1, 2010 — 4:09 AM UTC

Why Smith Barney is now the most target-rich environment for recruiters of breakaways

The biggest wirehouse's changes in branches, compliance and culture have opened the vault door

August 9, 2010 — 4:39 AM UTC

Counterpoint: Intra-Wall Street recruiting by Morgan Stanley Smith Barney has picked up in the past 60 days

Results of reinvigorated efforts may show up on Labor Day

August 9, 2010 — 4:29 AM UTC

Smith Barney broker leaves wirehouse realm after 38 years

Recruiter: an increasing number of older advisors are leaving wirehouses to be sure their books of business go to someone they trust

July 27, 2010 — 1:52 AM UTC

HighTower wins its first-ever existing RIA after offering the breakaway a new way to do business -- and a chat with David Pottruck

Three Bridge Wealth Advisors surpised itself by giving up its 'sweet' freedom to regain the advantages of scale

July 23, 2010 — 3:54 AM UTC