InvestmentNews

InvestmentNews
Displaying 3990 results
ETFs see record inflows of $250 billion in first quarter
INVESTING ETFS APR 05, 2021
ETFs see record inflows of $250 billion in first quarter

A surge into equities fueled the record, but bond ETFs also grew, State Street Global Advisors reports.

UBS team managing $630 million moves to Rockefeller
YOUR PRACTICE PRACTICE MANAGEMENT APR 02, 2021
UBS team managing $630 million moves to Rockefeller

Five-person Adapt Partners is joining Rockefeller in San Antonio

Switching firms can cost advisers 19% of assets: Cerulli
YOUR PRACTICE PRACTICE MANAGEMENT APR 01, 2021
Switching firms can cost advisers 19% of assets: Cerulli

Those making a move risk losing clients and accounts; they also face operational challenges.

SageView buys retirement plan practice of Oregon firm
RETIREMENT RETIREMENT PLANNING APR 01, 2021
SageView buys retirement plan practice of Oregon firm

Arnerich Massena is shedding retirement assets to focus on private wealth management, endowments and foundations.

Captrust acquires RIA managing $700 million
RETIREMENT RETIREMENT PLANNING APR 01, 2021
Captrust acquires RIA managing $700 million

Pacific Investment Consultants is based in Folsom, California.

Beacon Pointe acquires Texas-based Wealthstreet
NEWS RIAS APR 01, 2021
Beacon Pointe acquires Texas-based Wealthstreet

The deal will add more than $1 billion to Beacon Pointe's assets under management.

Boenning & Scattergood acquires Columbus Macro
NEWS INDUSTRY NEWS MAR 31, 2021
Boenning & Scattergood acquires Columbus Macro

The deal for the Pittsburgh-based investment boutique adds $400 million to Boenning's assets under management.

YOUR PRACTICE PRACTICE MANAGEMENT MAR 31, 2021
See It Be It Role Model: Dana Wilson

Wilson founded CHIP, which stands for Changing How Individuals Prosper, as a judgment-free, welcoming space that encourages people of color to find financial advisers who look like them.

SEC charges Kansas RIA with defrauding clients
NEWS REGULATION AND LEGISLATION MAR 31, 2021
SEC charges Kansas RIA with defrauding clients

The complaint also alleges that Douglas E. Elstun misled clients about his trading in high risk, daily leveraged and inverse exchange-traded funds by failing to disclose the substantial risks of buying and holding these products.

Former rep sentenced to more than 17 years for defrauding clients
NEWS RIAS MAR 29, 2021
Former rep sentenced to more than 17 years for defrauding clients

He was suspended by the Certified Financial Planners Board of Standards in 2013, and was barred by the Financial Industry Regulatory Authority and the Pennsylvania Department of Banking in 2015.