Pontera, formerly known as FeeX, allows advisers to work with client accounts that are held away from the firm, like 401(k)s.
Pensionmark, an RIA and retirement consultant that supports more than $80 billion in assets, is headquartered in Santa Barbara, California.
Scott Allen Fries, a former Transamerica rep and adviser, took at least $458,000 from at least 10 individuals.
Napa Valley and TrueNote, which are led by Kelly Crane, oversee more than $400 million in client assets.
For the year, policy sales were up 5%, which is the highest annual growth since 1983, according to Limra.
Houston-based advisers Brandon Glasscock and Mandy Haskell are joining the firm’s independent adviser channel.
Robert Patti manages $280 million in Marietta, Georgia
The creation of draft proposals for International Sustainability Standards Board is expected imminently.
The regulator said that firms should stress-test trading positions in light of 'current events and potential market movements.'
Lance Murphy, who's based in Houston, has 26 years of experience, much of it with asset management companies.
