Kurt Wolfe, securities attorney with Troutman Pepper, discusses the final updated rules from the SEC on adviser marketing. The rule hasn't changed in nearly 40 years, so Jeff, Bruce, and Kurt have plenty to discuss, including what is allowed in the new guidelines, differences for brokers vs. advisers, and more.
Patrick Duke and Paul Haarman of APEG Investors allegedly kept $2.6 million of what they raised from investors.
Unison Risk Advisors and TAG Advisors are launching pooled employer plans.
Maentz Machlovitch Group in Los Angeles specializes in working with Native American tribes.
The Fox Alliance, a 15-person team that includes six advisers, is based in Austin, Texas.
The insurer also led in variable annuity sales last year, while New York Life sold the most fixed annuities.
iM Global Partner intends to enhance its U.S. distribution capabilities with the acquisition of the California wealth and asset management firm.
A drop in investment fees led to the reduction in total plan costs.
Kansas-based registered investment advisory firm will give stakes to about 10% of its workforce.
Vedder Group, a four-person team in Tallahassee, Florida, is using the services of Integrated Partners, with Fidelity as its custodian.
