The move will allow CI Financial to provide trust solutions to high-net-worth and ultra-high-net-worth clients.
Anthony Naso and an accomplice identified themselves as law enforcement and wore police-style badges during an attempted robbery in 2020, according to police.
Karn Couzens & Associates is based in Farmington and led by Robert A. Karn and Jeffrey P. Couzens.
InvestmentNews is partnering with FiComm on the Advisor Podcast Awards, and the deadline for nominations is Friday.
Skafco, based in Dublin, Ohio, is led by Rod Skaf and Wayne Niles.
Peter Carmack exits Wells Fargo and sets up shop as Carmack Capital Management in Lees Summit, Missouri.
Christine Gustafson and her team at Phoenix Wealth Management are based in Phoenix, Arizona.
Dana Pollard and Justin Mishacoff of Woodbury, Minnesota-based Lumitas Wealth Strategies join the firm’s network of independent advisers.
Michael Anania formed The Anania Group of Raymond James in Dublin, Ohio, along with two staff members.
The broker-dealer self-regulator projects a drop in corporate filings and market trading volume, which will reduce its fee income.
Participants in their 20s have more than half their retirement plan assets in the funds, a study by ICI and EBRI shows.
Dimple Shah is named executive vice president of corporate strategy and Iryna Northrip becomes chief compliance officer for investment advisory.
The strategy blends short-term Treasury bonds with put options on longer-term bonds to ride the trend toward higher rates.
A Finra arbitration panel ordered UBS to pay the clients $2.9 million in compensatory damages and $966,000 in attorneys' fees.
Advisers are hoping the worst is over and trying to keep clients focused on the long term.
There is more going on in the ESG world, as seemingly passive funds have an element of active management that other index funds do not.
The acquisition of $370 million Union Financial Advisors, based in Tulsa, marks Merit's sixth deal since taking private equity capital two years ago.
Independent broker-dealers’ shift toward fee revenue continued in 2021. Here are the firms that earned the most in fees last year.
Glass Lewis & Co. cited a 'disconnect' between the CEO's pay and the bank's performance; it's particularly concerned about the $52.6 billion in options awarded to Dimon in 2022.
Vanguard founder John Bogle took his fiduciary mandate very seriously and focused on embedding it in the company's culture.
