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InvestmentNews
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NEWS RIAS JUL 12, 2017
New aggregator takes stake in three RIAs managing $11 billion

Wealth Partners Capital buys into Forbes Family Trust, MAI Capital and EP Wealth Advisors.

YOUR PRACTICE PRACTICE MANAGEMENT JUL 12, 2017
Finra hits State Street with $1.5 million fine for electronic record-keeping violations

Regulator censured the firm for failing to maintain copies of messages.

NEWS RIAS JUL 11, 2017
A $200 million Wells Fargo rep forms RIA

James Denholm III launches IronBridge Private Wealth in Austin.

NEWS RIAS JUL 11, 2017
Merrill Lynch loses $1 billion Beverly Hills team

Matthew Calenza forms Boulevard Family Wealth RIA.

NEWS REGULATION AND LEGISLATION JUL 11, 2017
Northeast Securities to pay $1.8 million in Finra arbitration claim

Claimants wanted $3 million for alleged fraud, churning and negligence in bond trades

INVESTING ALTERNATIVES JUN 30, 2017
ARCP Ex-CFO Brian Block guilty of securities fraud

Mr. Block last year pleaded not guilty to charges, including conspiracy and securities fraud, stemming from accounting at the REIT once controlled by Nicholas Schorsch.

NEWS INDUSTRY NEWS JUN 29, 2017
Finra board elects William Heyman chairman

Vice chairman and CIO of The Travelers succeeds Jack Brennan effective July 18

YOUR PRACTICE PRACTICE MANAGEMENT JUN 29, 2017
Advisory firms rethinking how they deliver value: Fidelity survey

Advisory leaders believe "fulfillment" will take precedence over money management.

RETIREMENT RETIREMENT PLANNING JUN 27, 2017
Morningstar's first study of 10 largest HSAs reveals so-so performance

Only one plan was assessed positively as both an investment and a savings vehicle.

YOUR PRACTICE PRACTICE MANAGEMENT JUN 27, 2017
$3.5 billion adviser team leaves UBS for Raymond James

The team of six advisers joins the firm's employee unit in Honolulu.