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InvestmentNews
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First blank-check ETF debuts
MUTUAL FUNDS OCT 01, 2020
First blank-check ETF debuts

The new fund gives investors a chance to participate in one of the hottest areas of the stock market

Focus Financial takes stake in $1.6 billion RIA
RIA NEWS OCT 01, 2020
Focus Financial takes stake in $1.6 billion RIA

Fairway Wealth Management will become the second Focus firm in Ohio

Wealthspire to acquire $1.5 billion StratWealth
RIA NEWS OCT 01, 2020
Wealthspire to acquire $1.5 billion StratWealth

Acquisition of RIA firm will add to footprint in Middle Atlantic states

FPA names Dennis J. Moore 2021 president-elect
RIA NEWS OCT 01, 2020
FPA names Dennis J. Moore 2021 president-elect

Moore, chief operating officer for Dallas-based Quest Capital Management, is currently completing a three-year term on FPA's board

2019 Rising Star Phuong Luong, Founder, JustWealth
RIA NEWS OCT 01, 2020
2019 Rising Star Phuong Luong, Founder, JustWealth

A role model for young women within the finance advice profession

Elissa Buie, 2019 Alexandra Armstrong Award Winner
RIA NEWS OCT 01, 2020
Elissa Buie, 2019 Alexandra Armstrong Award Winner

CEO describes efforts to achieve gender parity on both sides of the client relationship

Dana D’Auria joins Envestnet as co-CIO
FINTECH SEP 30, 2020
Dana D’Auria joins Envestnet as co-CIO

Former Symmetry Partners executive will share the role with Brandon Thomas

The 2020 Alexandra Armstrong Award winner is Mellody Hobson
WOMEN ADVISOR COMMUNITY SEP 30, 2020
The 2020 Alexandra Armstrong Award winner is Mellody Hobson

The co-CEO and president at Ariel Investments is a relentless advocate for equality

Net flows to ESG funds quadrupled to $20 billion in 2019
RIA NEWS SEP 30, 2020
Net flows to ESG funds quadrupled to $20 billion in 2019

Broadridge report finds ESG accounts for 10% of assets in active equity funds

SEC gives Morgan Stanley a $5 million slap over short sales
WIREHOUSES SEP 30, 2020
SEC gives Morgan Stanley a $5 million slap over short sales

The firm separated hedges into two buckets, which is a Reg SHO no-no