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InvestmentNews
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Wells Fargo veteran managing $482 million joins Baird
INDEPENDENT BROKER DEALERS MAY 03, 2021
Wells Fargo veteran managing $482 million joins Baird

James Galkowski will open an office for the firm in Rochester, Minnesota.

Beacon Pointe acquires $610 million North Carolina RIA
RIA NEWS MAY 03, 2021
Beacon Pointe acquires $610 million North Carolina RIA

DMJ Wealth Advisors, which has four offices throughout the state, will be renamed Beacon Pointe North Carolina.

Team managing $200 million switches to LPL from Voya
INDEPENDENT BROKER DEALERS MAY 03, 2021
Team managing $200 million switches to LPL from Voya

The six-person Kraner group based in New Jersey is affiliating through INC Advisor, an office of supervisory jurisdiction.

ESG regulations in Europe map a clear path for the US
REGULATION AND LEGISLATION MAY 03, 2021
ESG regulations in Europe map a clear path for the US

Europe has led the way in the exploding market for socially responsible investing.

UBS trio managing $560 million moves to Rockefeller
PRACTICE MANAGEMENT APR 30, 2021
UBS trio managing $560 million moves to Rockefeller

The five-member team is joining the firm’s Newport Beach, California office

RBC adds Merrill trio managing $2 billion
PRACTICE MANAGEMENT APR 29, 2021
RBC adds Merrill trio managing $2 billion

The eight-person Paulson Holman Gatto Group is opening an office in Lake Forest, Illinois.

OneDigital acquires $240 million retirement plan manager
RETIREMENT PLANNING APR 29, 2021
OneDigital acquires $240 million retirement plan manager

Keystone Retirement & Insurance Advisors is based in Houston.

OSJ with $2 billion switches to Cadaret Grant from Securities America
INDEPENDENT BROKER DEALERS APR 28, 2021
OSJ with $2 billion switches to Cadaret Grant from Securities America

Cedar Brook Group, led by William Glubiak, is based in Cleveland and oversees 20 licensed professionals.

UBS adviser managing $215 million goes indie with LPL
INDEPENDENT BROKER DEALERS APR 28, 2021
UBS adviser managing $215 million goes indie with LPL

Chad Taylor launches Seapoint Wealth Advisors in San Diego using LPL's services for breakaway brokers.

Value investor Charles de Vaulx found dead
RIA NEWS APR 28, 2021
Value investor Charles de Vaulx found dead

In March, his International Value Advisers had announced it would liquidate its two funds and cease operations.