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Empower teams with Rockefeller to create turnkey retirement plan
RETIREMENT RETIREMENT PLANNING MAY 24, 2022
Empower teams with Rockefeller to create turnkey retirement plan

Rockefeller will serve as a plan’s ERISA section (3(38)) investment manager.

Cetera adds teams managing almost $400 million
NEWS BROKER DEALERS MAY 24, 2022
Cetera adds teams managing almost $400 million

Sonnenfeld Financial Group is based in Minnesota and Lincoln Capital Inc. in San Diego.

Richard Skae, vice chairman of Morgan Stanley Wealth Management, dies at 65
NEWS WIREHOUSES MAY 24, 2022
Richard Skae, vice chairman of Morgan Stanley Wealth Management, dies at 65

The industry veteran formerly held posts at PaineWebber and Merrill Lynch.

Court orders Maryland company to restore $148,000 to 401(k) plan
RETIREMENT RETIREMENT PLANNING MAY 24, 2022
Court orders Maryland company to restore $148,000 to 401(k) plan

Department of Labor investigation found employer failed to forward employees’ contributions.

T3 special edition: Charles Schwab's Andrew Salesky
THE INVESTMENTNEWS PODCAST MAY 23, 2022
T3 special edition: Charles Schwab's Andrew Salesky

InvestmentNews technology editor Ryan W. Neal sits down with Andrew Salesky, head of digital adviser solutions at Charles Schwab, to get an update on the ongoing TD Ameritrade integration and the latest digital developments for advisers using Schwab's platform.

SEC orders First Republic to pay $1.8 million over conflicts
NEWS REGULATION AND LEGISLATION MAY 23, 2022
SEC orders First Republic to pay $1.8 million over conflicts

The agency says the RIA unit, which breached fiduciary duty over compensation from an affiliate, consented to a cease-and-desist order and a censure.

Strategic Retirement Partners picks Securian for its PEP
RETIREMENT RETIREMENT PLANNING MAY 20, 2022
Strategic Retirement Partners picks Securian for its PEP

Securian will serve as the pooled plan provider and ERISA 3(16) fiduciary, while Strategic Retirement will provide ERISA 3(38) investment management and consulting services.

IMA Wealth offers small-plan retirement program
RETIREMENT RETIREMENT PLANNING MAY 20, 2022
IMA Wealth offers small-plan retirement program

Alerus serves as the designated 3(16) plan administrator and T. Rowe Price serves as record keeper.

Merrill team managing $409 million joins Raymond James
NEWS BROKER DEALERS MAY 19, 2022
Merrill team managing $409 million joins Raymond James

The three advisers, based in Spokane, Washington, will operate as Panorama Wealth Management of Raymond James.

Oppenheimer rep managing $180 million joins Linsco
NEWS ADVISOR MOVES MAY 19, 2022
Oppenheimer rep managing $180 million joins Linsco

Randall Pickett joins LPL’s employee channel. The Pickett Group of LPL Financial will be the second team to join the Linsco office in Dallas.