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3 Questions: Investing in firms that help those most hurt by pandemic
RIA NEWS MAY 15, 2020
3 Questions: Investing in firms that help those most hurt by pandemic

Impact Assets' Margret Trilli describes new fund that's sending capital to frontline heroes and others supporting those impacted by COVID-19 fallout

3 Questions: Riskalyze engineer helping with his 3D printer
RIA NEWS MAY 15, 2020
3 Questions: Riskalyze engineer helping with his 3D printer

Riskalyze CEO talks about how the fintech firm is making masks more comfortable

Team managing $360 million at UBS moves to Raymond James
INDEPENDENT BROKER DEALERS MAY 15, 2020
Team managing $360 million at UBS moves to Raymond James

Isaacs & Paller Wealth Management in Woodland Hills, Calif., is joining the firm’s employee adviser channel

3 Questions: Firm leveraging clients’ charitable efforts
PRACTICE MANAGEMENT MAY 15, 2020
3 Questions: Firm leveraging clients’ charitable efforts

Thrivent's Luke Winskowski discusses how they're helping clients support charitable causes

Finra bars no-show former Ameriprise rep
INDEPENDENT BROKER DEALERS MAY 14, 2020
Finra bars no-show former Ameriprise rep

Arthur Hoffman was suspended by the firm last month for outside business interests

SEC charges advisers with breaching fiduciary duty over fund choices
REGULATION, LEGAL & COMPLIANCE MAY 14, 2020
SEC charges advisers with breaching fiduciary duty over fund choices

Hybrid Ambassador Advisors used 12b-1 funds instead of less costly versions

LPL to open tech center in Austin, Texas
INDEPENDENT BROKER DEALERS MAY 13, 2020
LPL to open tech center in Austin, Texas

Firm is looking to hire now before site is completed

Court orders Florida Ponzi duo to pay $1.8 million penalty
REGULATION, LEGAL & COMPLIANCE MAY 12, 2020
Court orders Florida Ponzi duo to pay $1.8 million penalty

Neil Burkholz and Frank Bianco are also required to disgorge more than $860,000

Two Wells Fargo FiNet reps managing $315 million move to LPL
INDEPENDENT BROKER DEALERS MAY 12, 2020
Two Wells Fargo FiNet reps managing $315 million move to LPL

Brian Wall and Joe Nastasi will merge their practices in the Kansas City, Mo., area

Last chance to participate in InvestmentNews' 2020 Adviser Benchmarking Survey
PRACTICE MANAGEMENT MAY 11, 2020
Last chance to participate in InvestmentNews' 2020 Adviser Benchmarking Survey

Those who take the survey will get free copies of two studies, as well as other perks