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InvestmentNews
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To honor Black adviser pioneers, keep growing their ranks
YOUR PRACTICE PRACTICE MANAGEMENT FEB 21, 2022
To honor Black adviser pioneers, keep growing their ranks

Let’s honor Thorvald McGregor, Lilla St. John and other Black pioneers by encouraging and supporting their contemporary counterparts.

Rockefeller adds $850 million Merrill team
YOUR PRACTICE PRACTICE MANAGEMENT FEB 18, 2022
Rockefeller adds $850 million Merrill team

Greenwood Village, Colorado-based Brent Hablutzel and Zachary Bond-Stefo will operate as the Hablutzel Group.

401(k) balances break record in Q4: Fidelity
RETIREMENT RETIREMENT PLANNING FEB 18, 2022
401(k) balances break record in Q4: Fidelity

Young investors raised the total number of individual retirement accounts to a record 12.3 million, the firm said, while a record 38% of people boosted their 401(k) contribution last year.

Client awarded $1.1 million from UBS in arbitration
NEWS REGULATION AND LEGISLATION FEB 18, 2022
Client awarded $1.1 million from UBS in arbitration

A Mississippi investor had accused the firm of negligence and breach of fiduciary duty related to his investments in UBS' managed accounts.

Billion-dollar Wells Fargo trio goes indie with LPL
NEWS BROKER DEALERS FEB 17, 2022
Billion-dollar Wells Fargo trio goes indie with LPL

The three advisers, who operate as Outcome Private Wealth in Salt Lake City, are affiliating with LPL through OSJ Stratos Wealth Partners.

RBC rep managing $460 million moves to Raymond James
NEWS ADVISOR MOVES FEB 17, 2022
RBC rep managing $460 million moves to Raymond James

Matt Vanden Heuvel and his team operate as Vanden Heuvel Wealth Management of Raymond James in Appleton, Wisconsin.

Hancock Whitney Bank moves brokerage clients to Cetera
NEWS INDUSTRY NEWS FEB 17, 2022
Hancock Whitney Bank moves brokerage clients to Cetera

The bank’s existing broker-dealer will remain in place for corporate and municipal underwriting.

Morningstar partners with Hueler on annuities
RETIREMENT RETIREMENT PLANNING FEB 16, 2022
Morningstar partners with Hueler on annuities

Morningstar Retirement Manager will use Hueler's platform to help individuals include guaranteed income products in their retirement plans.

Amundi gives fund an ESG makeover
INVESTING ESG FEB 16, 2022
Amundi gives fund an ESG makeover

The Pioneer Global Sustainable Equity Fund will invest at least 80% of net assets in ESG-friendly holdings.

Flat-fee annuity for RIAs adds more investment choices
RETIREMENT RETIREMENT PLANNING FEB 15, 2022
Flat-fee annuity for RIAs adds more investment choices

DFA and Midland National are working with RetireOne on its contingent deferred annuity, which launched last October.