InvestmentNews

InvestmentNews
Displaying 3993 results
The message is compliance
YOUR PRACTICE FINTECH JUL 25, 2022
The message is compliance

The substantial fines hitting big banks for failing to meet messaging-retention requirements shows the need for direction from the top to ensure the use of monitoring systems.

Breakaway RIA affiliates with Sanctuary Wealth
NEWS RIAS JUL 22, 2022
Breakaway RIA affiliates with Sanctuary Wealth

Ronan O'Byrne, who managed $230 million at Fieldpoint Private Securities, has formed Crescent Pine Family Office in Rye, New York.

Focus Financial unit adds Strategic Capital Advisers
NEWS INDUSTRY NEWS JUL 20, 2022
Focus Financial unit adds Strategic Capital Advisers

Denver-based Strategic Capital, which manages more than $770 million, is joining Focus partner firm Transform Wealth.

Edelman Financial Engines launches workplace financial wellness platform
RETIREMENT RETIREMENT PLANNING JUL 20, 2022
Edelman Financial Engines launches workplace financial wellness platform

Digital content, webinars, educational tools and access to an adviser are part of the offering.

LPL hires former BNY Mellon exec to head banking
NEWS BROKER DEALERS JUL 19, 2022
LPL hires former BNY Mellon exec to head banking

Bill Sappington will lead efforts to build the IBD’s banking and lending platform.

Eight advisers managing $355 million affiliate with Kingswood US
NEWS RIAS JUL 19, 2022
Eight advisers managing $355 million affiliate with Kingswood US

Two advisers came from Merrill Lynch, others from independent brokerages.

Federated Hermes to acquire C.W. Henderson
NEWS INDUSTRY NEWS JUL 18, 2022
Federated Hermes to acquire C.W. Henderson

The Chicago-based specialist in municipal bonds manages $3.63 billion.

THE INVESTMENTNEWS PODCAST JUL 18, 2022
What does David Canter’s exit mean for Fidelity?

Bruce and Jeff explore the news that David Canter is leaving Fidelity Institutional for Bluespring Wealth Partners with Timothy D. Welsh, CEO of Nexus Strategy. They discuss the impact this will have on Fidelity and its custody business, as well as what it means for Bluespring.

Alera Group acquires $500 million retirement plan adviser
RETIREMENT RETIREMENT PLANNING JUL 18, 2022
Alera Group acquires $500 million retirement plan adviser

DFG 401(k) Advisors, which is based in Phoenix, is joining Alera through its Benefit Commerce Group and will now operate as BCG 401(k) Advisors.

Wealth Enhancement Group acquires $776 million hybrid
NEWS INDUSTRY NEWS JUL 15, 2022
Wealth Enhancement Group acquires $776 million hybrid

The acquisition of Titus Wealth Management and its three offices expands Wealth Enhancement's Northern California presence to eight offices.