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Vivek Ramaswamy on Strive Asset Management's road to success
THE INVESTMENTNEWS PODCAST AUG 22, 2022
Vivek Ramaswamy on Strive Asset Management's road to success

Bruce and Jeff reunite to interview Vivek Ramaswamy, co-founder and executive chairman of Strive Asset Management. They unravel the problematic mix of politics and big business, as well as Vivek’s unconventional path to founding Strive, Strive’s success and what’s next.

Securian team managing $203 million bolts for SagePoint
NEWS BROKER DEALERS AUG 22, 2022
Securian team managing $203 million bolts for SagePoint

Brian Falconer and 16 reps operate as Wealth Management Resource Group in Braintree, Massachusetts.

New regulations for the new reality
YOUR PRACTICE FINTECH AUG 22, 2022
New regulations for the new reality

Finra has proposed a pilot program for firms that want to continue remote inspections, in line with the seemingly permanent use of remote work.

Lincoln Financial launches QDIA with Stadion
RETIREMENT RETIREMENT PLANNING AUG 19, 2022
Lincoln Financial launches QDIA with Stadion

The QDIA combines a target-date fund for younger individuals and Stadion’s StoryLine managed account service for participants aged 50 and older.

Trilogy Financial acquires two firms, $160 million in AUM
RETIREMENT RETIREMENT PLANNING AUG 19, 2022
Trilogy Financial acquires two firms, $160 million in AUM

The addition of E. F. Heagan & Associates and Mandichak Investment Retirement & Estate Planning brings more than 500 new clients.

New Jersey hybrid managing $500 million links to Concourse
NEWS ADVISOR MOVES AUG 18, 2022
New Jersey hybrid managing $500 million links to Concourse

Ramsey-based Key Group Management had been affiliated with Royal Alliance.

Team managing $350 million joins Fairport Wealth
NEWS ADVISOR MOVES AUG 18, 2022
Team managing $350 million joins Fairport Wealth

Hightower facilitated the merger for Cleveland, Ohio-based Fairport, which is a Hightower advisory business.

CFP Board imposes interim suspension on barred rep
YOUR PRACTICE PRACTICE MANAGEMENT AUG 18, 2022
CFP Board imposes interim suspension on barred rep

Pending investigation, Massachusetts adviser Filippo Mastrocola can’t use CFP certification mark.

Barred New Jersey broker charged in $1 million phony loan scheme
NEWS REGULATION AND LEGISLATION AUG 17, 2022
Barred New Jersey broker charged in $1 million phony loan scheme

Criminal and civil fraud charges were filed against Anthony Mastroianni Jr., who sold fake promissory notes to older investors.

Massachusetts slaps MassMutual unit with $250,000 fine
RETIREMENT LIFE INSURANCE AND ANNUITIES AUG 17, 2022
Massachusetts slaps MassMutual unit with $250,000 fine

Regulator says rep defrauded clients by saying variable annuities were commission free.