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Morgan Stanley trio managing $315 million joins Raymond James
YOUR PRACTICE PRACTICE MANAGEMENT SEP 29, 2021
Morgan Stanley trio managing $315 million joins Raymond James

The team, including James Wendling, Steven VanDerSchaaf andClint Allman, have moved to the employee unit of Raymond James in Davenport, Iowa.

Avantax team managing $400 million switches to LPL
YOUR PRACTICE PRACTICE MANAGEMENT SEP 29, 2021
Avantax team managing $400 million switches to LPL

First Legacy Wealth Management affiliates through JFC Advisor Network. The advisory firm is based in San Angelo and Big Spring, Texas.

Mercer Advisors acquires $1.5 billion advisory firm
NEWS INDUSTRY NEWS SEP 29, 2021
Mercer Advisors acquires $1.5 billion advisory firm

The registered investment adviser Quest Capital Management, based in Dallas, will add assets and 17 staff members to the $32 billion Mercer Advisors.

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.