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SEC partially settles fraud charges against co-founder of RIA
NEWS RIAS APR 16, 2021
SEC partially settles fraud charges against co-founder of RIA

Martin Silver of International Investment Group in Long Branch, N.J., will pay penalties to be determined.

Team managing $400 million at Truist moves to D.A. Davidson
YOUR PRACTICE PRACTICE MANAGEMENT APR 15, 2021
Team managing $400 million at Truist moves to D.A. Davidson

The three-adviser Marshall & Whatley Investment Group is based in Harrisonburg, Virginia.

CFB Board says July CFP exam can be taken remotely
YOUR PRACTICE PRACTICE MANAGEMENT APR 15, 2021
CFB Board says July CFP exam can be taken remotely

Candidates will have the choice of taking the test in person or via remote proctoring in November as well.

Hub acquires assets of $1.6 billion retirement firm
RETIREMENT RETIREMENT PLANNING APR 15, 2021
Hub acquires assets of $1.6 billion retirement firm

Peter Vacheron and the team at IBG Financial Partners in Foxborough, Massachusetts, will join Hub’s retirement unit.

Indie adviser managing $800 million moves to LPL from Kestra
NEWS BROKER DEALERS APR 14, 2021
Indie adviser managing $800 million moves to LPL from Kestra

Kip Adams and his team in Fort Worth, Texas, serve as the retirement and private wealth leaders for Gus Bates Insurance & Investments.

Adviser managing $500 million at Wells Fargo joins RIA
NEWS RIAS APR 14, 2021
Adviser managing $500 million at Wells Fargo joins RIA

Lisa Quadrini moves to Brandywine Oak Private Wealth in suburban Philadelphia.

Snappy Kraken raises $6 million
YOUR PRACTICE PRACTICE MANAGEMENT APR 13, 2021
Snappy Kraken raises $6 million

Fintop Capital led the Series A financing round, which included Flyover Capital and 1248 Holdings.

Allworth Financial acquires $340 million RIA
NEWS RIAS APR 13, 2021
Allworth Financial acquires $340 million RIA

Shone Wealth Management, based in Walnut Creek, California, serves about 300 client households.

Hybrid team managing $340 million joins Cetera from LPL
NEWS BROKER DEALERS APR 13, 2021
Hybrid team managing $340 million joins Cetera from LPL

The Advisors, a five-adviser group, is based in Murraysville, Pennsylvania, and headed by Bryan Davis.

PlanMember Financial and Newport Group launch PEP
RETIREMENT RETIREMENT PLANNING APR 13, 2021
PlanMember Financial and Newport Group launch PEP

Newport will serve as the pooled employer plan provider and PlanMember will supply 3(38) fiduciary investment services.