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Securities America team managing $195 million switches to Commonwealth
NEWS INDUSTRY NEWS JAN 05, 2022
Securities America team managing $195 million switches to Commonwealth

Four-adviser Opus 111 Group has offices in Seattle and Spokane, Washington.

Four Idaho advisers managing $648 million join Raymond James
NEWS INDUSTRY NEWS JAN 05, 2022
Four Idaho advisers managing $648 million join Raymond James

Employee unit adds two-person teams from Wells Fargo and UBS.

Mariner Wealth acquires New Hampshire firm
NEWS INDUSTRY NEWS JAN 05, 2022
Mariner Wealth acquires New Hampshire firm

Granite Investment Advisors, in combination with two new advisers who joined, collectively add $1.3 billion in AUA.

Creative Planning acquires $300 million Ohio RIA
NEWS RIAS JAN 04, 2022
Creative Planning acquires $300 million Ohio RIA

Berno Financial Management was founded in 1993 and is based in Cincinnati.

EP Wealth Advisors acquires Bay Area RIA
NEWS INDUSTRY NEWS JAN 04, 2022
EP Wealth Advisors acquires Bay Area RIA

Mindful Money in Berkeley, California, managed $346 million

MAI acquires $725 million RIA book
NEWS INDUSTRY NEWS JAN 04, 2022
MAI acquires $725 million RIA book

Patrick Gingras was a co-founder of Brenton Point Wealth Advisors

SEC names William Birdthistle director of investment management division
NEWS REGULATION AND LEGISLATION DEC 21, 2021
SEC names William Birdthistle director of investment management division

William A. Birdthistle is currently a professor at Chicago-Kent College of Law. The division oversees regulatory policy for investment advisers.

Global Infrastructure Management pays $4.5 million to settle with SEC
NEWS REGULATION AND LEGISLATION DEC 21, 2021
Global Infrastructure Management pays $4.5 million to settle with SEC

According to the order, Global failed to offset certain portfolio company fees against management fees charged to clients, as required under its offering and governing documents.

LPL Financial lands MML team managing $390 million
NEWS RIAS DEC 20, 2021
LPL Financial lands MML team managing $390 million

Sterling Wealth Group is based in Melville, New York and was formerly affiliated with MML Investors Services.

Anti-woke ETFs
THE INVESTMENTNEWS PODCAST DEC 20, 2021
Anti-woke ETFs

Jeff gets the breakdown on anti-woke ETFs from Bloomberg’s senior ETF analyst, Eric Balchunas. Together they dive deep into what these funds entail and which companies they're investing in, and ponder the question, is bringing politics into investing a good idea?