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InvestmentNews
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InvestmentNews CEO and publisher Suzanne Siracuse resigns
YOUR PRACTICE PRACTICE MANAGEMENT JUL 16, 2019
InvestmentNews CEO and publisher Suzanne Siracuse resigns

Move comes one year after London-based Bonhill Group acquired InvestmentNews from Crain

Wells Fargo adviser managing $500 million moves to RIA firm
NEWS RIAS JUL 16, 2019
Wells Fargo adviser managing $500 million moves to RIA firm

Michelle Rudd opens office for Summit Trail Advisors in Seattle.

Wells Fargo duo managing $350 million goes indie with Raymond James
YOUR PRACTICE PRACTICE MANAGEMENT JUL 16, 2019
Wells Fargo duo managing $350 million goes indie with Raymond James

Austin Heberger and Gavin Lee set up Arroyo Capital Partners in Pasadena, Calif.

Former Beverly Hills rep found guilty of $200 million fraud scheme
NEWS REGULATION AND LEGISLATION JUL 15, 2019
Former Beverly Hills rep found guilty of $200 million fraud scheme

Todd Ficeto was involved in an international hedge fund scam.

Cybersecurity still a top concern among RIA compliance execs
GO RIA COMPLIANCE JUL 15, 2019
Cybersecurity still a top concern among RIA compliance execs

Almost three-quarters increased cybersecurity compliance testing in the past year.

Finra bars former Morgan Stanley rep who hid outside accounts
NEWS REGULATION AND LEGISLATION JUL 12, 2019
Finra bars former Morgan Stanley rep who hid outside accounts

Roman Corona declined to appear before panel looking into holdings.

Schwab subscription planning service draws $1 billion in new assets
NEWS RIAS JUL 11, 2019
Schwab subscription planning service draws $1 billion in new assets

Hybrid robo launched in March charges one-time planning fee plus $30 a month.

Adviser managing $600 million moves to Raymond James
NEWS INDUSTRY NEWS JUL 11, 2019
Adviser managing $600 million moves to Raymond James

David Ahlquist joins employee unit's Greenway Plaza office in Houston

Ohio advisory firm managing $206 million moves to Kestra
NEWS BROKER DEALERS JUL 10, 2019
Ohio advisory firm managing $206 million moves to Kestra

Independent firm led by Michelle M. Merkel makes the switch after 26 years with Principal Securities.

EP Wealth acquires Pathlight Investors
NEWS RIAS JUL 10, 2019
EP Wealth acquires Pathlight Investors

The purchase of the Phoenix-based RIA adds $283 million in AUM