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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.

Wells Fargo team managing $295 million jumps to LPL
NEWS BROKER DEALERS AUG 31, 2021
Wells Fargo team managing $295 million jumps to LPL

Allison Taylor leads the all-female group in Huntington Beach, California.

Average fund expense ratio now 0.41%, Morningstar finds
RETIREMENT RETIREMENT PLANNING AUG 27, 2021
Average fund expense ratio now 0.41%, Morningstar finds

The average expense ratio on funds last year was less than half of what it was in 2000, according to Morningstar's annual study of fund fees.

A father-son $500 million duo at Merrill Lynch moves to RBC
YOUR PRACTICE PRACTICE MANAGEMENT AUG 27, 2021
A father-son $500 million duo at Merrill Lynch moves to RBC

John and Ryan Birkhauser and their team are based in Lake Forest, Illinois.