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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.

Duo managing $1.1 billion at Morgan Stanley moves to J.P. Morgan
YOUR PRACTICE PRACTICE MANAGEMENT MAY 14, 2021
Duo managing $1.1 billion at Morgan Stanley moves to J.P. Morgan

Mark Donohue will be based in Palm Beach Gardens, Florida; Gordon Sommer in New York

InvestmentNews is six-time finalist for business journalism awards
NEWS INDUSTRY NEWS MAY 14, 2021
InvestmentNews is six-time finalist for business journalism awards

The publication was cited for overall editorial excellence, best commentary, best work by a single author, and art direction.

SEC charges Texas RIA with fraud
NEWS RIAS MAY 14, 2021
SEC charges Texas RIA with fraud

Knight Nguyen Investments and its owner claimed to be experts in alternative investments.