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Adviser managing $300 million at Morgan Stanley joins LPL
NEWS BROKER DEALERS SEP 08, 2021
Adviser managing $300 million at Morgan Stanley joins LPL

Francis Ciocari is affiliating with the firm through super OSJ Gladstone Wealth Partners and will be opening an office in Blue Bell, Pennsylvania.

Focus Financial takes stake in $2 billion RIA
NEWS RIAS SEP 02, 2021
Focus Financial takes stake in $2 billion RIA

Ancora Holdings, the parent of four firms, is based in Cleveland.

Lule Demmissie to head eToro Group in US
YOUR PRACTICE PRACTICE MANAGEMENT SEP 02, 2021
Lule Demmissie to head eToro Group in US

The executive is joining the online brokerage firm after heading Ally Invest.

SEC's Gensler orders review of funds' ESG disclosures
INVESTING ESG SEP 02, 2021
SEC's Gensler orders review of funds' ESG disclosures

The agency is considering more stringent disclosure requirements for investment funds amid concerns that some fund managers are making unfounded ESG claims.

Allworth Financial acquires $367 million RIA
NEWS RIAS SEP 02, 2021
Allworth Financial acquires $367 million RIA

A husband-and-wife team runs Novak Financial Planning in Bel Air, Maryland.

Beacon Pointe acquires $500 million Seattle RIA
NEWS RIAS SEP 01, 2021
Beacon Pointe acquires $500 million Seattle RIA

Rainier Financial Group is the firm's first acquisition in the Pacific Northwest.

Raymond James affiliate managing $625 million moves to LPL
NEWS BROKER DEALERS SEP 01, 2021
Raymond James affiliate managing $625 million moves to LPL

The six-adviser team at TBT Financial Services is based in Tyler and Longview, Texas

Four-person Merrill team managing $391 million joins UBS
YOUR PRACTICE PRACTICE MANAGEMENT SEP 01, 2021
Four-person Merrill team managing $391 million joins UBS

Brenner Wealth Management Group is based in Santa Barbara, California.

Fintech firm offers annuity selection tool
RETIREMENT RETIREMENT PLANNING SEP 01, 2021
Fintech firm offers annuity selection tool

Luma Financial Technologies' new tool, Luma Compare, lets advisers compare a variety of products.

Repeat RIA offender charged with fraud
NEWS RIAS SEP 01, 2021
Repeat RIA offender charged with fraud

The SEC says Dean Tellone and his California firm hid information from mortgage investors.