InvestmentNews

InvestmentNews
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NEWS REGULATION AND LEGISLATION MAY 22, 2017
Regulation, politics dominate adviser concerns, survey finds

Inflation worries grow, but still rank at bottom, Fidelity says.

NEWS RIAS MAY 22, 2017
$160 million Merrill Lynch team exits for HighTower

Advisers forming RIA in West Palm Beach, Fla.

NEWS RIAS MAY 18, 2017
Wells Fargo FiNet loses $275 million team to Raymond James

Five-person Holloway Harman & Associates is based in Kansas City, Mo.

NEWS INDUSTRY NEWS MAY 17, 2017
D.A. Davidson advisers managing $177 million leave for Raymond James

Ken Robbins and two-person team join firm's employee unit in Los Angeles.

INVESTING ALTERNATIVES MAY 17, 2017
Baird picks CAIS platform for hedge funds

Move will allow advisers to select single-manager hedge funds for the first time.

INVESTING ALTERNATIVES MAY 17, 2017
Addepar acquires AltX to expand in alternatives

Addition of machine-learning technology is intended to enhance value to advisers and clients.

NEWS WIREHOUSES MAY 17, 2017
Finra fines Merrill Lynch $650,000 for bond trading violations

Regulator censures firm for handling of customer orders for nonconvertible preferred securities

YOUR PRACTICE PRACTICE MANAGEMENT MAY 16, 2017
Finra slaps broker with six-month suspension for failing to report $1 million in tax liens

Kevin Graetz was also fined $10,000 for not updating U4s over seven years.

NEWS INDUSTRY NEWS MAY 16, 2017
UBS veteran and $178 million team exit for Baird

Jeffrey Tolbert will manage firm's Oak Brook, Ill., office.

Oppenheimer & Co. loses $420M broker, manager to Raymond James
YOUR PRACTICE PRACTICE MANAGEMENT MAY 15, 2017
Oppenheimer & Co. loses $420M broker, manager to Raymond James

Philadelphia-based Richard Grobman leaves with branch's administrative manager.