Business Transitions

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Focus Financial Reportedly Preparing S-1 Filing For IPO

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Focus Financial Partners is reportedly preparing to file an S-1 document with the SEC as a precursor to its long-awaited plan to go public, according to industry sources.

Vanguard's Advisory Service Rattles Advisors Who Use Its Funds For Clients

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The Vanguard Group is competing with some of its best customers -- the brokers and advisors who funnel client assets to its funds.

William C. Miller Named Cole Capital CEO After Ezzell Resigns

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William C. Miller was appointed president and CEO of Cole Capital, the investment management business of American Realty Capital Properties Inc., the companies said in a statement Friday.

Stifel to Buy Barclays' Wealth-Management Business in U.S.

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Stifel Financial has made more than two dozen acquisitions since 1997, boosting net revenue every year to build one of the largest U.S. securities firms based outside of New York.

Women Advisors Reach Out To Other Women

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Women financial advisors are continuing efforts to boost their numbers in a business in which they're underrepresented.

Stifel Financial May Buy Barclay U.S. Wealth Unit

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The broker-dealer is reportedly in talks to buy the business from Barclays. Credit Suisse says the unit may fetch as much as $250 million.

Why Clients Fail At Retirement

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Most reasons are beyond advisors’ control, but they should warn clients of pitfalls.

Savant Continues Rapid Growth

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Savant Capital continues its fast-paced growth with the acquisition of Orion Capital Mangement, a boutique investment bank.

The Top Prize For Personal Wealth? Business Owners Own It

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Personal wealth is concentrated in the hands of American business owners -- to such a degree few financial advisors can imagine it.

Mutual Fund Firms To Merge, Creating RiskX Investments

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Asset managers FolioMetrix LLC and American Independence Financial Services are merging to form a new company, RiskX Investments LLC, the firms announced on Tuesday.

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