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Two big Seattle RIAs merge
NEWS INDUSTRY NEWS DEC 02, 2020
Two big Seattle RIAs merge

Laird Norton Wealth Management and Filament will operate under Laird Norton name

SEC charges boiler room operator with $2.1 million fraud
NEWS REGULATION AND LEGISLATION DEC 02, 2020
SEC charges boiler room operator with $2.1 million fraud

Mark Lisser peddled 'pre-IPO' shares in New York and Florida

Focus Financial firm to acquire $723 million RIA
NEWS RIAS DEC 01, 2020
Focus Financial firm to acquire $723 million RIA

Horan Capital Management will become part of Connectus Wealth Advisers

Thomas Sporkin tapped by CFP Board to head enforcement
NEWS REGULATION AND LEGISLATION DEC 01, 2020
Thomas Sporkin tapped by CFP Board to head enforcement

The former SEC executive will beef up the organization's detection, investigation and prosecution

Focus Financial takes stake in $682 million RIA
NEWS INDUSTRY NEWS DEC 01, 2020
Focus Financial takes stake in $682 million RIA

Kavar Capital Partners, founded in 2011, is based in Leawood, Kansas

BlackRock, Vanguard not that supportive of shareholder ESG resolutions
INVESTING ESG NOV 30, 2020
BlackRock, Vanguard not that supportive of shareholder ESG resolutions

BlackRock voted in favor of just 11% of climate resolutions in the 12 months ended in August, while Vanguard voted in favor of 15%

How will global markets react to U.S. election? Jeffrey Kleintop on this and more
THE INVESTMENTNEWS PODCAST NOV 30, 2020
How will global markets react to U.S. election? Jeffrey Kleintop on this and more

Schwab's chief global investment strategist Jeffrey Kleintop joins Jeff Benjamin and Bruce Kelly to chat about the global markets and how they'll react to the U.S. elections, the ongoing pandemic and Black Friday.

San Diego hybrid managing $250 million returns to LPL
NEWS BROKER DEALERS NOV 30, 2020
San Diego hybrid managing $250 million returns to LPL

Nautica Wealth Advisors had moved with its OSJ to Cetera for three years

SEC settles with RIA involved in $3 million Ponzi scheme
NEWS RIAS NOV 30, 2020
SEC settles with RIA involved in $3 million Ponzi scheme

Craig Rumbaugh and his California-based firms will pay $1 million for misleading investors

Labor Department sends fiduciary rule update to OMB
RETIREMENT RETIREMENT PLANNING NOV 25, 2020
Labor Department sends fiduciary rule update to OMB

Approval may be moot as the new administration could easily quash it