InvestmentNews

InvestmentNews
Displaying 4006 results
New York IBD to acquire $2.5B Boston hybrid
NEWS BROKER DEALERS AUG 27, 2019
New York IBD to acquire $2.5B Boston hybrid

National Holdings Corp. is set to acquire Winslow Evans & Crocker Inc. in 2020.

Massachusetts fines Wells Fargo $450,000 over unregistered agents
NEWS REGULATION AND LEGISLATION AUG 27, 2019
Massachusetts fines Wells Fargo $450,000 over unregistered agents

Securities regulator says more than 1,600 agents and managers had lapsed registrations.

Duo managing $1.5 billion move to firm that operates network of family offices
NEWS INDUSTRY NEWS AUG 27, 2019
Duo managing $1.5 billion move to firm that operates network of family offices

Jonathan Williams and Kevin Curtis will open office in Harrisburg, Pa. for Summit Trail Advisors

Hybrid firm managing $225 million switches to LPL from Ameriprise
NEWS INDUSTRY NEWS AUG 26, 2019
Hybrid firm managing $225 million switches to LPL from Ameriprise

Philadelphia, Pa.-based Barry A. Rucks & Associates uses B-D and RIA platforms

Team managing $100 million at Morgan Stanley leaves to form hybrid
NEWS RIAS AUG 26, 2019
Team managing $100 million at Morgan Stanley leaves to form hybrid

PrairieFire Wealth Planning uses B-D, RIA platforms of Sanctuary Wealth.

Software developer Invent.us creates consulting group to serve users
YOUR PRACTICE FINTECH AUG 26, 2019
Software developer Invent.us creates consulting group to serve users

Suzanne Siracuse, Tim Welsh part of team to help advisory firms maximize new tools.

Morgan Stanley team managing $210 million joins Raymond James
NEWS INDUSTRY NEWS AUG 23, 2019
Morgan Stanley team managing $210 million joins Raymond James

Five-adviser group in Tucson, Ariz., moves to firm's employee unit.

Morgan Stanley team managing $345 million moves to Stifel
NEWS INDUSTRY NEWS AUG 23, 2019
Morgan Stanley team managing $345 million moves to Stifel

Five-advisor Huggins Winders Group joins firm in Tallahassee, Fla.

Fixed indexed annuity sales rise 14% to $20 billion in second quarter
RETIREMENT LIFE INSURANCE AND ANNUITIES AUG 21, 2019
Fixed indexed annuity sales rise 14% to $20 billion in second quarter

Limra Secure Retirement Institute data finds VA sales stopped declining.

California-based RIA acquires $200 million RIA
NEWS RIAS AUG 21, 2019
California-based RIA acquires $200 million RIA

Personal Financial Consultants adds $200 million in assets to $4.4 billion EP Wealth Advisors