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Kansas City, Missouri, firms merge to form $1.7 billion RIA
NEWS RIAS JUN 26, 2020
Kansas City, Missouri, firms merge to form $1.7 billion RIA

RubinBrown and Wealth Management Advisors combine

$500 million team joins RBC from Morgan Stanley
YOUR PRACTICE PRACTICE MANAGEMENT JUN 25, 2020
$500 million team joins RBC from Morgan Stanley

Market Street Group will join the office RBC recently opened in St. Louis

Cary Street Partners to acquire $215 million RIA
NEWS RIAS JUN 23, 2020
Cary Street Partners to acquire $215 million RIA

Waypoint Advisors in Virginia Beach, Va., will join the Richmond-based firm

Thomas Gira, head of Finra market regulation, dead at 58
YOUR PRACTICE PRACTICE MANAGEMENT JUN 23, 2020
Thomas Gira, head of Finra market regulation, dead at 58

The executive had worked at the Financial Industry Regulatory Authority Inc. for nearly three decades

Court enters final judgment in fraudster Caplitz case
NEWS REGULATION AND LEGISLATION JUN 23, 2020
Court enters final judgment in fraudster Caplitz case

The sons of his partner were ordered to pay back almost $488,000

THE INVESTMENTNEWS PODCAST JUN 22, 2020
Financial services gets a failing grade for diversity. Plus what the second half looks like, looming layoffs and those controversial forgivable loans

The inaugural episode of the InvestmentNews Podcast doesn't hold back; diving into essential topics for the financial advice industry from diversity to succession planning to potential layoffs and cost cutting to come at large firms that advisers rely on for service and technology.

Opening defined-contribution plans to private equity is a mistake
NEWS OPINION JUN 21, 2020
Opening defined-contribution plans to private equity is a mistake

U.S. regulators dropped the ball in a recent letter clarifying that regulations do not prohibit the use of private equity funds in 401(k) plans

Benefits administrators plead guilty to $15 million embezzlement
RETIREMENT RETIREMENT PLANNING JUN 19, 2020
Benefits administrators plead guilty to $15 million embezzlement

The Texas couple made 90 unauthorized distributions from pension and retirement plans they ran

U.S. Bank taps veteran wirehouse exec to head advisory unit
YOUR PRACTICE PRACTICE MANAGEMENT JUN 18, 2020
U.S. Bank taps veteran wirehouse exec to head advisory unit

Beth Lawlor was named president of the bank’s private wealth management business

UBS team managing $400 million creates RIA
NEWS RIAS JUN 18, 2020
UBS team managing $400 million creates RIA

Interchange Capital Partners in Pittsburgh, Pa., will use Pershing and Dynasty Financial Partners