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InvestmentNews
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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

JPMorgan Chase penalized $250 million for risk management failings
NEWS REGULATION AND LEGISLATION NOV 24, 2020
JPMorgan Chase penalized $250 million for risk management failings

Regulators found that the bank's asset and wealth management businesses lacked controls to avoid conflicts of interest

MAI Capital Management acquires $500 million RIA
NEWS RIAS NOV 23, 2020
MAI Capital Management acquires $500 million RIA

St. Louis-based Greenway Family Office is MAI's second acquisition of 2020

ESG investing can foster cohesion in wealthy families, Barclays finds
INVESTING ESG NOV 23, 2020
ESG investing can foster cohesion in wealthy families, Barclays finds

The study suggests younger generations are influencing their elders and persuading them to act

On a tear! CI Financial scoops up U.S. RIAs at breathtaking pace
THE INVESTMENTNEWS PODCAST NOV 23, 2020
On a tear! CI Financial scoops up U.S. RIAs at breathtaking pace

Macquarie and Wilshire to offer private investments fund
INVESTING ALTERNATIVES NOV 20, 2020
Macquarie and Wilshire to offer private investments fund

Delaware Wilshire Private Markets Fund has $25,000 minimum

SEC obtains final judgment against North Carolina fraudster
NEWS RIAS NOV 20, 2020
SEC obtains final judgment against North Carolina fraudster

Former RIA Richard Davis, now in prison, took $9.3 million from 75 clients

Adviser managing $160 million at Wells Fargo joins Baird
NEWS BROKER DEALERS NOV 19, 2020
Adviser managing $160 million at Wells Fargo joins Baird

Mario Perez is moving to the Baird office in Sacramento, California