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Team managing $200 million switches to LPL from Voya
NEWS BROKER DEALERS MAY 03, 2021
Team managing $200 million switches to LPL from Voya

The six-person Kraner group based in New Jersey is affiliating through INC Advisor, an office of supervisory jurisdiction.

ESG regulations in Europe map a clear path for the US
INVESTING ESG MAY 03, 2021
ESG regulations in Europe map a clear path for the US

Europe has led the way in the exploding market for socially responsible investing.

UBS trio managing $560 million moves to Rockefeller
YOUR PRACTICE PRACTICE MANAGEMENT APR 30, 2021
UBS trio managing $560 million moves to Rockefeller

The five-member team is joining the firm’s Newport Beach, California office

RBC adds Merrill trio managing $2 billion
YOUR PRACTICE PRACTICE MANAGEMENT APR 29, 2021
RBC adds Merrill trio managing $2 billion

The eight-person Paulson Holman Gatto Group is opening an office in Lake Forest, Illinois.

OneDigital acquires $240 million retirement plan manager
RETIREMENT RETIREMENT PLANNING APR 29, 2021
OneDigital acquires $240 million retirement plan manager

Keystone Retirement & Insurance Advisors is based in Houston.

OSJ with $2 billion switches to Cadaret Grant from Securities America
NEWS BROKER DEALERS APR 28, 2021
OSJ with $2 billion switches to Cadaret Grant from Securities America

Cedar Brook Group, led by William Glubiak, is based in Cleveland and oversees 20 licensed professionals.

UBS adviser managing $215 million goes indie with LPL
NEWS BROKER DEALERS APR 28, 2021
UBS adviser managing $215 million goes indie with LPL

Chad Taylor launches Seapoint Wealth Advisors in San Diego using LPL's services for breakaway brokers.

Value investor Charles de Vaulx found dead
NEWS INDUSTRY NEWS APR 28, 2021
Value investor Charles de Vaulx found dead

In March, his International Value Advisers had announced it would liquidate its two funds and cease operations.

Structured note platform adds annuities
RETIREMENT RETIREMENT PLANNING APR 28, 2021
Structured note platform adds annuities

Halo Investing will offer fixed, variable and registered index-linked annuities from several carriers.

SEC charges barred broker in IPO scam
NEWS REGULATION AND LEGISLATION APR 28, 2021
SEC charges barred broker in IPO scam

Peter Quartararo told clients he’d buy ‘pre-IPO’ shares in prominent private companies including Peloton and Airbnb.