2020 Industry in Transition Virtual Summit: Diversity & Inclusion Panel
A roundtable discussion moderated by Moira Markus and featuring Jess McQueen, Tonia Bottoms and Sheryl Hickerson. SEE ADDITIONAL VIDEOS FROM THE 2020 INDUSTRY IN TRANSITION...
Being a Mom Boss
It's a typical Tuesday morning around 7.am. I get my allocations from the syndicate desk, divvy up the shares, and get to work. Great way...
Why RIAs Need to Get Serious About Diversity & Inclusion
While news channels and protests have reminded us all of the systemic injustices in our country, we have witnessed organizations of all kinds offering public...
Sirianni: A Reckoning on Race and Gender
As our industry works to meet the challenge of the national debate on issues of race and gender, firms are scrambling to recommit themselves to...

RIA Center

Video Interview: New Views of the RIA Model
Industry veteran Mindy Diamond is the president and CEO of Diamond Consultants. Because she is a top thought leader, many sophisticated financial advisors seek her...
Establishing Your Brand as an Independent Advisor
Whether you’re thinking about going independent or have already made the decision to leave the wirehouse, you’re likely considering all the steps needed to make...
Thinking About Going Independent? Pros and Cons for Advisors
If you’re considering breaking away from the wirehouse, you’re facing one of the biggest planning decisions you’ll ever make for yourself. Weighing your choices may...
Should You Make a Break for Independence? 5 Reasons to Answer “Yes”
Should I stay, or should I go? For wirehouse advisors, that question used to be more about running away from a parent company than about...
A Conversation with Ron Kruszewski, CEO of Stifel Financial Corp.
One of wealth management’s leading voices shares his thoughts on the industry, and what advisors need to do to compete and thrive during these unprecedented...
Overcoming Referral (Asking) Reluctance And The Risks Of Marketing Yourself: Kitces & Carl
Over the past several years, there’s been an explosion in the number of marketing channels that advisory firms can use to attract new leads, turn...
How Divorce and Widowhood Can Impact a Woman’s Finances
LISTEN TO ADDITIONAL EPISODES IN THIS SERIES This episode was previously published in October 2019. For many women going through divorce or widowhood, it’s important...
Hungry, Humble, Smart
In this year’s final podcast, I speak with Lisa Crafford, a principal within the Platform Strategy and Consulting Group at BNY Mellon | Pershing.  A...

Recruiting Wire Scoreboard

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Recruiting Winners
AUM ($ MLN)
1. Rockefeller Capital Management
$800
2. Sanctuary Wealth
$435
3. Stifel, Nicolaus & Company, Incorporated
$200
4. Morgan Stanley
$3
5. Merrill Lynch, Pierce, Fenner & Smith Incorporated
$2
Recruiting Losers
AUM ($ MLN)
1. Merrill Lynch, Pierce, Fenner & Smith Incorporated
$735
2. UBS Financial Services Inc.
$503
3. Jefferies
$200
4. JPMorgan Chase & Co.
$2
5. 1st Global Capital
$0
Recruiting Champs (net)
AUM ($ MLN)
1. Rockefeller Capital Management
$800
2. Sanctuary Wealth
$435
3. Stifel, Nicolaus & Company, Incorporated
$200
4. Morgan Stanley
$3
5. 1st Global Capital
$0

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AH Institute Library

Resources for you to revisit the basics, brush up on technical topics, or prepare for an exam. View our free resource library, or sign up for an exam course today.

A Conversation with Jeff Concepcion, Founder and CEO at Stratos Wealth Partners
In this episode we explore some of the hottest topics in wealth management today with Jeff Concepcion, Founder & Chief Executive Officer at Stratos Wealth...
Fintech Product Directory
Browse this directory of innovative fintech and wealthtech solutions to find what fits the unique needs of your business.
Cetera’s Insurance Tech Integration Drives Growth
ViewTrade Institutional
An all-inclusive platform thoughtfully designed for registered investment advisors, hedge funds, wealth managers, TAMPS, FinTech platform providers and breakaway teams.

Podcasts

 
Capital Wealth Planning: Record Highs – It’s All About Stimulus
Monday Morning Observations RECORD HIGHS It's All About Stimulus "Isn't it funny how day by day nothing changes, but when you look back - everything...

Data & Resources

Resources for you to revisit the basics, brush up on technical topics, or prepare for an exam.

AdvisorHub delivers the financial podcasts you need to keep your career on track. Stay informed with the latest from those in the know in the financial industry.

Research deals, compensation and payouts for wirehouses, RIA’s, independent and regional firms.

AH Institute

Understanding Annuities
Annuities An annuity is a contract between an individual and an insurance company. Once the contract is entered into, the individual becomes known as the...
How To Master Mutual Fund Pricing
How to Value Mutual Fund Shares Mutual funds must determine the net asset value of the fund’s shares at least once per business day. Most...
How To Understand Mutual Funds
What is the Investment Company Philosophy? An investment company is organized as either a corporation or as a trust. Individual investors’ money is then pooled...
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Resources for you to revisit the basics, brush up on technical topics, or prepare for an exam. View our free online resource library, or sign up for an exam today.
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Spotlight

The Market For Advisor Transitions Is ON FIRE – Understand The Reasons Why
On the surface, it seemingly defied logic given 2020 was a year defined and transformed by COVID-19. Yet, as December drew to a close and...