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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.

ESG options in 401(k)s could boost contributions, Schroders finds
RETIREMENT RETIREMENT PLANNING MAY 13, 2021
ESG options in 401(k)s could boost contributions, Schroders finds

Ninety percent of plan participants who are aware of ESG choices said they invest in them.

U.S. Capital Advisors acquires $1.4 billion RIA
NEWS RIAS MAY 13, 2021
U.S. Capital Advisors acquires $1.4 billion RIA

The company will merge Legacy One Financial Advisors into a subsidiary, USCA RIA, and rename the merged entity U.S. Capital Wealth Advisors.

Average retirement balances hit record in Q1: Fidelity
RETIREMENT RETIREMENT PLANNING MAY 13, 2021
Average retirement balances hit record in Q1: Fidelity

Year-over-year values are up more than 30% across more than 30 million IRAs, 401(k) and 403(b) accounts.

Nominations due for Women in Asset Management awards
YOUR PRACTICE PRACTICE MANAGEMENT MAY 13, 2021
Nominations due for Women in Asset Management awards

Nominate individuals and firms in the U.S. as role models, advocates and allies of women in investment management by June 11.

UBS adviser managing $150 million in Florida moves to LPL
NEWS BROKER DEALERS MAY 13, 2021
UBS adviser managing $150 million in Florida moves to LPL

Jeffrey Schiffman joins the firm’s employee unit in Palm Beach Gardens, Florida.

Great-West B-D to pay $1.5 million over retirement account failures
RETIREMENT RETIREMENT PLANNING MAY 12, 2021
Great-West B-D to pay $1.5 million over retirement account failures

The Securities and Exchange Commission says the firm knew that hackers were trying to access participant accounts but didn’t report them.

Top exchange-traded funds in the first quarter
INVESTING ETFS MAY 11, 2021
Top exchange-traded funds in the first quarter

These charts are based on data from Refinitiv Lipper, an LSEG business, and reflect data through March 31.