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  1. Articles

    Merrill nabs $300M RBC trio in New York

    Ronald Slevin and team produced approximately $2.5 million in annual revenue.

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    Robert Moore joins executive board of Carson Institutional Alliance

    Robert Moore, who resigned last week as president of LPL Financial, is joining forces with Ron Carson, one of LPL's largest affiliates, agreeing to serve on the board of Carson Institutional Alliance.

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    Merrill Lynch scores $500 million team from UBS

    Four advisers who produced $3.1 million in annual revenue joined in Palm Beach, Fla.

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    Identifying the best fit for your business

    I recently participated in a webcast outlining key considerations for advisers looking to transition or sell their practices to another firm. While a number of things were discussed, the underlying theme of our conversation was the need to perform due diligence to identify the best option for an ...

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    Art Tambaro, former Royal Alliance chief, returns to the securities industry

    Longtime industry exec to use Cetera's First Allied as broker-dealer in setting up OSJ.

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    Did Merrill Lynch's latest high-profile recruiting coup break the bank?

    Breakfast with Benjamin A record Merrill Lynch signing bonus might have pushed its monetary limit. Plus: Loving European stocks but hating the euro, taking a fresh look at gold, and protecting the nest egg from rising drug costs.

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    United Capital pivots with $2 billion hire

    Firm now focused on hiring advisers from larger companies, even wirehouses, as it shifts away from acquisitions.

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    Merrill Lynch strikes back with $1.2 billion hire

    After a couple big recruiting losses, Merrill picks up a $1.2 billion team of Morgan Stanley private bank advisers.

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    Advisers in limbo as RBC unwinds international unit

    Not long after being hired, a number of advisers serving clients in Latin America are once again searching for a new home

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    Focus loses another exec

    Former managing director Mark Hovanic has left the aggregator to be president of an RIA with $169 million in AUM.

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    NAPFA compensation committee member says AUM fees for cash raise conflicts

    Advisers cutting fees for managing low-yielding cash positions has become popular but critics, including a NAPFA compensation committee member, say the practice presents big conflicts of interest.

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    The latest CFA test scores send 56% back to square one

    On today's Breakfast with Benjamin, Wall Street wannabees sweat over the results of the December CFA test. Plus: Obama turns tail on 529 tax plan, Gundlach dishes on his own bad trades, and chicken wings might be the best Super Bowl investment.

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    Another key executive departs LPL

    Brain drain at nation's largest IBD continues as top East Coast recruiter plans to take a new position at an insurance company-owned broker-dealer.

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    Adviser pool continues to drain, losing 2% in 2013

    According to new data, adviser headcount fell by 1.9% in 2013, as about 5,500 advisers left the industry and were not replaced.

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    Recruiting isn't the finish line; it's the starting point

    To grow consistently and profitably, firms should look at recruiting as a long-term investment.