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Trio managing $500 million at Truist joins Raymond James
YOUR PRACTICE PRACTICE MANAGEMENT SEP 29, 2021
Trio managing $500 million at Truist joins Raymond James

The three-person Truist team includes Charles Mintz, Timothy Gray and Wren Mintz, and is moving to the employee unit of Raymond James.

Vanguard lowers expenses by merging target-date funds
INVESTING MUTUAL FUNDS SEP 28, 2021
Vanguard lowers expenses by merging target-date funds

The expense ratios will drop from an average of 12 basis points to 8 basis points.

Mercer acquires $240 million RIA
YOUR PRACTICE PRACTICE MANAGEMENT SEP 27, 2021
Mercer acquires $240 million RIA

Miller Advisors is a mother-and-daughter advisory team based in Kirkland, Washington.

SEC charges adviser with steering clients to expensive funds
NEWS REGULATION AND LEGISLATION SEP 27, 2021
SEC charges adviser with steering clients to expensive funds

The Securities and Exchange Commission charged that from at least 2014 until 2019, Buttonwood took steps to avoid paying transaction costs by focusing client investments in more expensive mutual funds.

LPL lands $675 million team from MassMutual
NEWS BROKER DEALERS SEP 27, 2021
LPL lands $675 million team from MassMutual

Polaris is headed by partners Corey Basehore and Justin Dunwoody and includes adviser Sarah Leer, two junior advisers and a nine-member office staff.

Jamie Hopkins on Biden tax plan plus more
THE INVESTMENTNEWS PODCAST SEP 27, 2021
Jamie Hopkins on Biden tax plan plus more

Writer and researcher Jamie Hopkins, managing partner of wealth solutions at Carson Wealth, discusses at length with Jeff and Bruce the current Democratic tax plan making its way through Congress. They discuss realistic outcomes of the bill and ramifications for advisers and clients. They also discuss crypto, the new Carson headquarters building, and the Bain Capital investment.

Return of live events is a welcome step forward
YOUR PRACTICE PRACTICE MANAGEMENT SEP 27, 2021
Return of live events is a welcome step forward

The challenge now is for organizers to make even more people feel safe enough to return in person.

Wisconsin RIA defrauded clients, SEC charges
NEWS RIAS SEP 24, 2021
Wisconsin RIA defrauded clients, SEC charges

The agency alleges that Michael Shillin lied to clients, many of them elderly, about the value of their investments.

Lockton acquires advisory firm consultancy
RETIREMENT RETIREMENT PLANNING SEP 24, 2021
Lockton acquires advisory firm consultancy

The insurance broker is buying Freedom Partners, which provides back-office services for financial advisory firms.

Four Virginia bank reps managing $580 million join D.A. Davidson
YOUR PRACTICE PRACTICE MANAGEMENT SEP 23, 2021
Four Virginia bank reps managing $580 million join D.A. Davidson

Two Truist advisers make the move in Bedford and two in Charlottesville.