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Merit acquires Connecticut firms managing $277 million
NEWS RIAS SEP 01, 2022
Merit acquires Connecticut firms managing $277 million

Ceponis Financial Group and Brook Wealth Management are both based in Fairfield County.

Schwab creates scholarship for underrepresented CFPs
YOUR PRACTICE PRACTICE MANAGEMENT SEP 01, 2022
Schwab creates scholarship for underrepresented CFPs

Up to 16 awards, with up to $10,000 to be awarded per student, will be given each year, CFP Board says.

Hightower acquires $1.2 billion RIA in Pacific Northwest
NEWS RIAS SEP 01, 2022
Hightower acquires $1.2 billion RIA in Pacific Northwest

Highland Private Wealth Management in Bellevue, Washington, has 18 employees, including five advisers.

Finra names Nathaniel Stankard chief of staff for regulatory operations
YOUR PRACTICE PRACTICE MANAGEMENT SEP 01, 2022
Finra names Nathaniel Stankard chief of staff for regulatory operations

The executive, who had been senior adviser to Finra CEO Robert Cook, will spearhead regulatory integration.

UBS duo managing $600 million bolts for Cadaret Grant
NEWS BROKER DEALERS AUG 31, 2022
UBS duo managing $600 million bolts for Cadaret Grant

Anthony Mona and Joseph Mansoor make the switch in Birmingham, Michigan, through OSJ Spartan Wealth Management.

RPA offers expanded adviser managed accounts
RETIREMENT RETIREMENT PLANNING AUG 31, 2022
RPA offers expanded adviser managed accounts

The RIA specializing in public-sector retirement plans is working with Stadion on participant-level personalization and using EPIC's record-keeping platform.

SEC charges two North Carolina advisers with $75 million fraud
NEWS REGULATION AND LEGISLATION AUG 30, 2022
SEC charges two North Carolina advisers with $75 million fraud

Gregory Lindberg and Christopher Herwig allegedly misappropriated $57 million in client funds, while their firm collected more than $21.4 million in advisory fees in connection with these schemes.

Team managing $250 million at Edward Jones joins Raymond James
NEWS ADVISOR MOVES AUG 30, 2022
Team managing $250 million at Edward Jones joins Raymond James

Samuel Bates, Darin Frandsen and Adam Fluckiger set up shop at North Rim Financial Group in Saint George, Utah.

Wealthspire funds four scholarships to encourage CFP diversity
NEWS RIAS AUG 30, 2022
Wealthspire funds four scholarships to encourage CFP diversity

The New York-based RIA will provide four awards per year of up to $5,000 per student for individuals pursuing their CFP certification.

Allworth acquires two firms, adding $640 million in AUM
NEWS INDUSTRY NEWS AUG 29, 2022
Allworth acquires two firms, adding $640 million in AUM

Second Opinion Partners and Muchler Financial Services are folded into the firm.