InvestmentNews

InvestmentNews
Displaying 3990 results
Maryland securities chief to lead NASAA in 2021-22
YOUR PRACTICE PRACTICE MANAGEMENT AUG 12, 2021
Maryland securities chief to lead NASAA in 2021-22

Melanie Senter Lubin will start a one-year term as president of the North American Securities Administrators Association in September.

Oppenheimer adviser managing $550 million goes indie with LPL
NEWS BROKER DEALERS AUG 12, 2021
Oppenheimer adviser managing $550 million goes indie with LPL

Ken South and his team open Tower 68 Financial Advisors in Newport Beach, California.

Top RIAs by nondiscretionary AUM
NEWS INDUSTRY NEWS AUG 12, 2021
Top RIAs by nondiscretionary AUM

Here is a compilation of the rankings for top RIAs by nondiscretionary assets under management.

Mariner adds $500 million Pennsylvania RIA
NEWS RIAS AUG 11, 2021
Mariner adds $500 million Pennsylvania RIA

Commonwealth Advisory Group will be Mariner’s first office in Pittsburgh.

Hybrid managing $300 million moves to Arkadios
YOUR PRACTICE PRACTICE MANAGEMENT AUG 11, 2021
Hybrid managing $300 million moves to Arkadios

Personal Portfolio, based in Redwood City, California, previously was affiliated with Investment Architects.

Market risk, longevity still worry plan participants
RETIREMENT RETIREMENT PLANNING AUG 10, 2021
Market risk, longevity still worry plan participants

About 40% of retirement plan participants say they're unsure how to make their money last, an American Century study finds.

DPL and tech firm launch online insurance marketplace
RETIREMENT RETIREMENT PLANNING AUG 10, 2021
DPL and tech firm launch online insurance marketplace

The platform, called the SS&C Advent Insurance Marketplace, allows advisers to access a range of fee-only products through Black Diamond Wealth Platform and DPL's proprietary Product Discovery tools.

Colony Group to buy $288 million RIA
NEWS RIAS AUG 10, 2021
Colony Group to buy $288 million RIA

The Boston-based firm will acquire Calabasas, California-based Legacy Wealth Partners.

SEC accuses adviser of scamming $700,000 from sect members
NEWS REGULATION AND LEGISLATION AUG 10, 2021
SEC accuses adviser of scamming $700,000 from sect members

Evarist Amah of New Rochelle, New York, is charged with producing phony statements to fleece co-religionists.

Indies managing $376 million switch to Securities America
NEWS RIAS AUG 09, 2021
Indies managing $376 million switch to Securities America

Robert Batick moves from Westport Capital, while Norman Coates made the switch from LPL Financial.