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ESG-reporting startup gets $7 million in seed funding
FINTECH MAR 09, 2022
ESG-reporting startup gets $7 million in seed funding

ESGgo will monitor and eventually help improve companies' disclosures.

Excellence in Diversity, Equity & Inclusion Awards
RIA NEWS MAR 09, 2022
Excellence in Diversity, Equity & Inclusion Awards

Join InvestmentNews in celebrating its fifth annual Excellence in Diversity, Equity & Inclusion Awards. We'll recognize the most impactful individual winners & firm finalists that are raising awareness about the need for a more diverse financial advice profession.

See It Be It Role Model: Angela Ribuffo
PRACTICE MANAGEMENT MAR 08, 2022
See It Be It Role Model: Angela Ribuffo

Angela Ribuffo, president of Raion Financial Strategies, decided to become an adviser after working as a nurse, teacher, and employee and contractor with the Defense Department.

RBC hires UBS adviser with $270 million in assets
PRACTICE MANAGEMENT MAR 08, 2022
RBC hires UBS adviser with $270 million in assets

Ryan McHugh and his team will join RBC's branch in Bend, Oregon.

Financial Planning Association taps Carson Group to be its official coach
PRACTICE MANAGEMENT MAR 08, 2022
Financial Planning Association taps Carson Group to be its official coach

The three-year partnership provides FPA members with access to services including Carson Coaching's online platform and its on-demand coaching.

One super OSJ affiliated with LPL acquires another
INDEPENDENT BROKER DEALERS MAR 08, 2022
One super OSJ affiliated with LPL acquires another

Gateway Financial Partners in Connecticut is buying Wisconsin-based Advisors’ Pride.

AIG, Reliance Standard launch index annuities
LIFE INSURANCE AND ANNUITIES MAR 08, 2022
AIG, Reliance Standard launch index annuities

The new products include features that are designed to protect against volatility and increase income.

SEC charges barred adviser with fraud
REGULATION AND LEGISLATION MAR 07, 2022
SEC charges barred adviser with fraud

David Schamens, who was barred back in 1992 for lying to retail investors, solicited investments in a pooled investment vehicle, but used the money for personal expenses and to repay previous investors, according to the SEC.

TCW partners with iCapital to improve access to its alts offerings
ALTERNATIVES MAR 07, 2022
TCW partners with iCapital to improve access to its alts offerings

The asset manager will use customized technology from iCapital to facilitate its clients' use of its offerings of alternative investments.

LPL adds $280 million team from Wells Fargo
INDEPENDENT BROKER DEALERS MAR 07, 2022
LPL adds $280 million team from Wells Fargo

Richard DeYoung and Jessica Boehm opened their new firm, Highland Wealth Partners, in The Woodlands, Texas, and affiliated with LPL's Strategic Wealth Services.