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FiNet adviser managing $260 million moves to LPL
NEWS BROKER DEALERS OCT 06, 2021
FiNet adviser managing $260 million moves to LPL

Lindsey Rhea’s firm, Alia Wealth Partners, is based in Germantown, Tennessee.

NASAA seeks comment on new rules for unpaid arbitration awards
NEWS REGULATION AND LEGISLATION OCT 05, 2021
NASAA seeks comment on new rules for unpaid arbitration awards

If the model rules were adopted, states would have more power to collect millions in fines.

Jacob Pruitt named president of Fidelity Charitable
NEWS INDUSTRY NEWS OCT 05, 2021
Jacob Pruitt named president of Fidelity Charitable

He succeeds Pamela Norley, who is retiring after a 25-year career at Fidelity.

RBC adviser managing $178 million goes indie
NEWS RIAS OCT 05, 2021
RBC adviser managing $178 million goes indie

Nick Murphy launches Counterweight Private Wealth in Raleigh, N.C., using TruClarity as its RIA platform.

Ameritas acquires record keeper
RETIREMENT RETIREMENT PLANNING OCT 05, 2021
Ameritas acquires record keeper

Ponte Vedra Beach, Florida-based BlueStar Retirement Services also serves as a third-party administrator and provides multiple employer plans.

Prudential reorganizes retirement business
RETIREMENT RETIREMENT PLANNING OCT 05, 2021
Prudential reorganizes retirement business

After striking a deal to sell a large part of its retirement business to Empower, the company is creating one unit, Prudential Retirement Strategies, to serve institutional and individual customers.

Ameriprise team managing $195 million jumps to Raymond James
NEWS BROKER DEALERS OCT 05, 2021
Ameriprise team managing $195 million jumps to Raymond James

Eric Cornell and Patrick Shea have formed their own firm, Helius Wealth, in Palm Beach Gardens, Florida.

Hightower takes stake in Florida RIA
NEWS RIAS OCT 05, 2021
Hightower takes stake in Florida RIA

The Chicago-based RIA is buying an undisclosed interest in Punta Gorda-based Landsberg Bennett, which manages $1 billion.

Murder victim's son can get money from 401(k) linked to killers
RETIREMENT RETIREMENT PLANNING OCT 05, 2021
Murder victim's son can get money from 401(k) linked to killers

The son of a man murdered by a Colombian guerrilla group had sued for access to a 401(k) account connected to the perpetrators.

Beacon Pointe acquires $430 million RIA
NEWS RIAS OCT 04, 2021
Beacon Pointe acquires $430 million RIA

Stonegate Capital Advisors will merge with the firm’s existing office in Scottsdale, Arizona.