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Empower launches finances website for participants
RETIREMENT RETIREMENT PLANNING APR 28, 2021
Empower launches finances website for participants

Investors will see a more complete financial picture, not just retirement balances, the company says.

Creative Planning acquires $320 million RIA
NEWS RIAS APR 27, 2021
Creative Planning acquires $320 million RIA

Castle Wealth Advisors, founded by Gary Pittsford, is the oldest fee-only adviser in Indiana.

Top independent broker-dealers 2021
NEWS BROKER DEALERS APR 26, 2021
Top independent broker-dealers 2021

This ranking of the top IBDs is based on their revenue and reflects data collected from firms that participated in InvestmentNews' independent broker-dealer surveys.

Pershing expands fee-based annuity offerings for RIAs
NEWS RIAS APR 26, 2021
Pershing expands fee-based annuity offerings for RIAs

The number of carriers on its RIA custodial platform increased to 20 from seven and the number of fee-based products rose to 70.

Many plan borrowers took more than they needed, survey finds
RETIREMENT RETIREMENT PLANNING APR 26, 2021
Many plan borrowers took more than they needed, survey finds

While the people who took loans or withdrawals as a result of Covid-19 are in a better place financially, they feel behind in their saving.

Archegos is a wake-up call for family offices
NEWS REGULATION AND LEGISLATION APR 26, 2021
Archegos is a wake-up call for family offices

Family offices traditionally were set up by wealthy families to manage their assets, along with handling taxes, estate planning and other chores. As the ranks of the rich expanded, so did the number of family offices.

Sara Devereux to head fixed income at Vanguard
YOUR PRACTICE PRACTICE MANAGEMENT APR 23, 2021
Sara Devereux to head fixed income at Vanguard

The former Goldman mortgage-backed securities star will take over from John Hollyer, who is retiring.

Cetera forms diversity and inclusion council
NEWS BROKER DEALERS APR 23, 2021
Cetera forms diversity and inclusion council

A 12-member group at the independent broker-dealer will work on company and industrywide initiatives.

Trio managing $550 million at Merrill moves to RBC
YOUR PRACTICE PRACTICE MANAGEMENT APR 22, 2021
Trio managing $550 million at Merrill moves to RBC

MMC Group will be based in RBC’s office in Jericho, New York.

SEC obtains final judgment against Connecticut RIA
NEWS REGULATION AND LEGISLATION APR 22, 2021
SEC obtains final judgment against Connecticut RIA

Former adviser Lester Burroughs was also found guilty of wire fraud in a criminal case.