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UBS Ordered to Pay Idaho Broker $1 Million Over Wrongful Termination

3 days ago | advisorhub.com | Karmen Alexander |Mason Braswell

UBS Wealth Management USA has been ordered to pay a Boise, Idaho-based broker $1 million based on allegations of wrongful termination and age discrimination, according to a split decision finalized on Tuesday. Two out of three Financial Industry Regulatory Authority arbitrators found that Randy S.
Exclusive: General Catalyst Woos Ex-First Republic Bigwig Arif Ahmed

4 days ago | advisorhub.com | Mason Braswell

GC Wealth, the upstart RIA arm of venture capital firm General Catalyst, has hired a former top producer from First Republic Bank. Arif Ahmed left J.P. Morgan Advisors, whose parent acquired First Republic in 2023, on May 20, according to registration records.
Mercer Buys $2-Billion RIA Full Sail Capital in Oklahoma City

4 days ago | advisorhub.com | Ali Hibbs

Denver-based Mercer Global Advisors, which has more than $70 billion in assets under advisement, has added another $2 billion with the purchase of Full Sail Capital in Oklahoma City. Full Sail was founded in 2018 by former Trust Company of Oklahoma executives David Stanley, Scott Cravens and Zac Reynolds. The 14-person team includes seven advisors serving mostly retail accounts along with about two dozen businesses and charities and three retirement plans.
Arax Picks Up Michigan RIA With $4 Billion in Assets

5 days ago | advisorhub.com | Ali Hibbs

New York City-based wealth management rollup Arax Investment Partners has bought a Birmingham, Michigan-based RIA managing $4 billion, according to an announcement on Monday. Schechter Investment Advisors is led by third-generation Chief Executive Marc R. Schechter and has 30 employees, including 14 advisors, according to a Form ADV filed in mid-April. Their customers include 745 households, 129 companies and 34 charities.
Focus Inks Deal for $9.4-Bln Los Angeles RIA

1 week ago | advisorhub.com | Ali Hibbs

Focus Financial Partners is acquiring a Los Angeles-based RIA with more than 7,000 customers and $9.4 billion under management, according to an announcement on Thursday. Churchill Management Group will become part of Focus Partners Wealth, a Focus Financial subsidiary managing $96 billion, according to the announcement and regulatory filings.
Former CEO of City National Rochdale Opens His Own Firm in New Jersey

1 week ago | advisorhub.com | Ali Hibbs

The former Chief Executive of City National Rochdale, a Royal Bank of Canada subsidiary that provides outsourced portfolio management for advisors, has started his own firm with similar ambitions. Garrett D’Alessandro opened Sandro Wealth Management in Fairfield, New Jersey, according to an announcement. He has recruited six former City National colleagues to join him, including Sandro Chief Legal Officer and President Kurt Hawkesworth.
LPL CEO Tweaks Competitors, Says Its Closing the Gap With Wirehouses

1 week ago | advisorhub.com | Mason Braswell

LPL Financial is hoping to shed its image as a home for only low-level producers and close the gap by next year in areas where it lags its wirehouse rivals, Chief Executive Rich Steinmeier said on Wednesday.
Carson Group Buys Another Affiliate, Simon Quick Gets Back in the Game

1 week ago | advisorhub.com | Ali Hibbs

Omaha-based Carson Group bought another one of its partner practices as it continues expanding ownership of its affiliates, the company announced Wednesday. The deal to acquire SRQ Wealth, which was managing $365 million for clients under the Carson Partners banner in Sarasota, Florida, is the fifth such deal announced this year and brings the total number of wholly-owned Carson Wealth offices to 25. Led by Managing Partner and Senior Wealth Advisor Stephen J. Martin along with Partners Karin A.
Talk Strategy, Not Jargon: What Clients Really Need to Hear

1 week ago | advisorhub.com | Tony Sirianni

Q: In a choppy market, it’s natural for financial advisors to want to reassure clients by discussing the importance of “staying disciplined” and trying to “minimize losses” and using “non-correlated” assets to help smooth out volatility. Can you tell us why that’s the wrong approach? Sometimes words and approaches that seem clear to industry professionals do not land as intended with end investors.
Integrated Partners Adds Boston Team Managing $370 Million

1 week ago | advisorhub.com | Ali Hibbs

Integrated Partners, a Boston-area firm that advises on more than $21 billion in client assets, has recruited a six-person team managing almost $370 million near its headquarters city. Corey Wealth Partners is led by founder Jeffrey K. Corey, who has 14 years of industry experience. Corey previously worked at Claro Advisors, a Boston RIA managing nearly $1.3 billion. Corey moved to Integrated with advisor Lincoln Hurney and four support staff.