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Hub acquires $3.4 billion plan consultant
RETIREMENT RETIREMENT PLANNING DEC 14, 2021
Hub acquires $3.4 billion plan consultant

The principals of GRP Financial California will join Hub’s private wealth business.

3 reps managing $345 million join LPL employee unit
NEWS INDUSTRY NEWS DEC 13, 2021
3 reps managing $345 million join LPL employee unit

Three registered representatives who collectively manage $345 million have joined Linsco, LPL Financial’s employee adviser unit.

Deals and no deals
THE INVESTMENTNEWS PODCAST DEC 13, 2021
Deals and no deals

InvestmentNews' Sean Allocca joins the podcast to chat with Bruce about some of the big acquisitions and hoped-for acquisitions in the wealth tech space. They go over Wealthfront as a possible buy target and Apollo's purchase of Griffin.

Gensler targets SPAC disclosures
NEWS REGULATION AND LEGISLATION DEC 09, 2021
Gensler targets SPAC disclosures

The SEC chairman's comments were the strongest signal to date that he'll push for much tougher rules for special purpose acquisition companies.

Raymond James adds Texas advisers managing $567 million
NEWS BROKER DEALERS DEC 09, 2021
Raymond James adds Texas advisers managing $567 million

A duo from LPL and two Wells Fargo reps are affiliating with the firm’s independent unit.

Wells Fargo team managing $250 million goes indie with LPL
NEWS BROKER DEALERS DEC 09, 2021
Wells Fargo team managing $250 million goes indie with LPL

Humanity Wealth Advisors sets up shop in California’s Bay Area.

Wells Fargo fined $2.25 million for record-keeping violations
NEWS WIREHOUSES DEC 08, 2021
Wells Fargo fined $2.25 million for record-keeping violations

Finra found that for 17 years, the firm failed to store 13 million customer records in the required format.

Reps managing $1.7 billion at Wells Fargo join Alex. Brown
NEWS BROKER DEALERS DEC 07, 2021
Reps managing $1.7 billion at Wells Fargo join Alex. Brown

A group of advisers based in Miami are moving to the Raymond James unit.

RBC rep managing $420 million goes indie with LPL
NEWS BROKER DEALERS DEC 07, 2021
RBC rep managing $420 million goes indie with LPL

Brian Nydegger’s Point 32 Investment Partners sets up shop in Westhampton, New York.

2 Raymond James execs stepping down from top posts
NEWS BROKER DEALERS DEC 07, 2021
2 Raymond James execs stepping down from top posts

President John Carson is retiring at year-end, while Canadian head Paul Allison will become executive chairman.