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Vanguard to offer private equity access to individual investors
INVESTING ALTERNATIVES MAY 20, 2021
Vanguard to offer private equity access to individual investors

The program broadens the relationship the fund company began last year with HarbourVest to serve institutional clients.

UBS nabs $1.8 billion duo from J.P. Morgan
YOUR PRACTICE PRACTICE MANAGEMENT MAY 19, 2021
UBS nabs $1.8 billion duo from J.P. Morgan

John Farrell and Joel East are joining the UBS branch in Fort Worth, Texas.

FIS to take over record-keeping tech, operations for T. Rowe Price
RETIREMENT RETIREMENT PLANNING MAY 19, 2021
FIS to take over record-keeping tech, operations for T. Rowe Price

About 800 T. Rowe employees will be offered jobs with FIS; the transition is effective Aug. 1.

Edelman Financial Engines acquires tax-oriented firm
NEWS RIAS MAY 19, 2021
Edelman Financial Engines acquires tax-oriented firm

Viridian Advisors, an $846 million RIA, will bring CPAs and tax expertise to Edelman.

PIABA finds arbitrators grant expungement 90% of the time
NEWS REGULATION AND LEGISLATION MAY 18, 2021
PIABA finds arbitrators grant expungement 90% of the time

Lawyers group says regulators and the customers who had complaints should be able to present evidence in expungement requests.

$400 million indie switches to Arkadios from Lincoln
NEWS RIAS MAY 18, 2021
$400 million indie switches to Arkadios from Lincoln

Frank Hanna and Bryan Cogliano head RevolutionX, a hybrid based in Berwyn, Pennsylvania.

Rockefeller adds UBS team managing $1.9 billion
NEWS RIAS MAY 17, 2021
Rockefeller adds UBS team managing $1.9 billion

Knowlton Knowlton & Larsen will be Rockefeller's first group of advisers in Boston.

Easterly will acquire Snow Capital
NEWS INDUSTRY NEWS MAY 17, 2021
Easterly will acquire Snow Capital

Combined, the asset managers will have $5 billion in AUM.

Trio managing $215 million at UBS goes indie at LPL
NEWS BROKER DEALERS MAY 17, 2021
Trio managing $215 million at UBS goes indie at LPL

The Atlanta-based, woman-led team is affiliating through Gladstone Wealth Partners, an office of supervisory jurisdiction.

Updating regulation for today’s technology
NEWS OPINION MAY 17, 2021
Updating regulation for today’s technology

The key issue, as Gensler put it, is how the SEC continues to ensure that markets work for everyday investors when new technologies change the face of finance.