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The people and firms behind the headlines. Follow their coverage, explore their profiles, and see what brought them into the news.
Search the network’s Firm & Fund Lookup- Caitlin Alcon
Her three-person Pueblo team brought $1.4B from Morgan Stanley to UBS.
UBS Bought $5.3 Billion of Recruits and Lost $11 Billion - Christopher P. Van Slyke
Will not join Beacon Pointe and is pursuing other projects
The $947 Million Median Is Not the Bid a Sub-$1B RIA Gets - David Emma Hightower Naples
Leads a $1.1B Florida practice being moved under Bahnsen by year-end.
Busiest RIA buyers average $679 million a deal, below the median - James A. Costabile
Listed as lead name of a 22-person team in an Osaic move.
ICG next, a $2.3B New Jersey firm, moves from LPL to Osaic - Larry Restieri Hightower
Expects the firm to create additional integration hubs
The $947 Million Median Is Not the Bid a Sub-$1B RIA Gets - Mark Masterson Hightower Naples
Co-leads the same $1.1B Florida practice moving under Bahnsen.
Busiest RIA buyers average $679 million a deal, below the median - Nate Lenz Concurrent
Said firm expects to keep buying in the $3B to $10B range after Spire
Hightower announced three RIA deals and closed none in 90 days - Pasha Azad
His four-person Los Angeles team brought $1.4B from Bernstein to UBS.
UBS Bought $5.3 Billion of Recruits and Lost $11 Billion - Ritik Malhotra Savvy Advisors
they do have a lot of complaints about their custodian," said Ritik Malhotra, Savvy's CEO
Why custodians guard the sweep yield as clients buy Treasury ETFs - Salvatore "Sam" Mineo
Left UBS to launch a $750 million advisory firm
The $947 Million Median Is Not the Bid a Sub-$1B RIA Gets - David Sisemore Raymond James Financial Services
Becomes interim president of Raymond James Financial Services
Raymond James names Scott Curtis COO effective Oct. 26 - Kirk Bell
Becomes president of the independent contractor division in April 2026
Raymond James names Scott Curtis COO effective Oct. 26 - Scott Curtis
Named chief operating officer effective Oct. 26, 2026
Raymond James names Scott Curtis COO effective Oct. 26 - Steve Raney
Listed for executive changes effective Jan. 1, 2027
Raymond James names Scott Curtis COO effective Oct. 26 - Tarek Helal
Listed for executive changes effective Jan. 1, 2027
Raymond James names Scott Curtis COO effective Oct. 26 - Michael Brice BW Cyber Services
Said smaller firms often put AI governance under compliance, which is inadequate
RIA AI maturity tracks governance structure, not tech spend - Ben Horowitz
Named as related person on ELEAH's zero-sold venture fund filing
Benchmark, AP Maverick funds carry 85% of $188.3M sold - Marc Andreessen
Named as related person on ELEAH's zero-sold venture fund filing
Benchmark, AP Maverick funds carry 85% of $188.3M sold - Mark Anson
Named as related person on CF Venture Direct's zero-sold filing
Benchmark, AP Maverick funds carry 85% of $188.3M sold - L. Edward Price Kintra Wealth
Moved to Kintra Wealth with Great Scott Financial Services team.
RBC, Kintra, Pinnacle, Modern add 20 advisors - Ron Kruszewski Stifel Financial Corp.
Said a lower-multiple merger would not lift Stifel's stock multiple
Kruszewski: lower-multiple merger won't lift Stifel's 9x multiple - Drew Parker Anthropic
Made 20-seat Claude minimum explicit; seeks to lower seat count
Anthropic's Claude needs 20 seats, a mismatch for 11,000 Schwab RIAs - Adam Gana
Said replacing counsel can appear as a delay tactic to a judge.
Heppner sentencing adjourned without new date as new counsel takes over - Alexandra Shapiro
Hired as defense attorney; client reportedly plans an appeal.
Heppner sentencing adjourned without new date as new counsel takes over - Bradley Heppner
Convicted in May; sentencing was adjourned without a new date.
Heppner sentencing adjourned without new date as new counsel takes over
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