Fake Finra fraudsters fish for financial data

Fraudsters posing as Finra regulators are targeting broker-dealers

Peter Rawlings 19 July, 2018
Leaving the firm

Dismissed Merrill vet launches Chicago RIA Keebeck

Merrill vet Bruce Lee said forming Keebeck is a “natural progression” for his career

Max Viscio 17 July, 2018
Platform enhance

Key boosts manager research strength with hire, Mercer partnership

KPB adds an asset allocation chief as it looks to boost its manager research and selection capabilities

Max Viscio 16 July, 2018

People moves: Quinn returns to Lowenhaupt, Citi adds U.S. Trust duo

The comings and goings of the private wealth space

Max Viscio 12 July, 2018

Ex-Kestra exec launches RIA with husband

Former Kestra Financial executive Kristen LeClair has started her own wealth management practice

Max Viscio 11 July, 2018

New Chicago MFO hires US Bank’s family office chief

Chicago-based Cresset Capital Management has launched a family office unit and hired an industry veteran to lead it.

Max Viscio 26 June, 2018

CIBC retires Atlantic Trust brand, considers expansion plans and operating platform upgrade

CIBC Private Wealth Management is dropping the Atlantic Trust moniker

Max Viscio 25 June, 2018

Finra bars principal/CCO for violating settlement terms

Dakota Securities International was also expelled from SRO membership

Peter Rawlings 22 June, 2018

Fiduciary Trust lowers DAF minimums, preps for expanded philanthropic advice access

Fiduciary Trust Charitable is lowering its donor-advised fund account minimum and planning to give clients additional access to advice

Max Viscio 21 June, 2018

Kestra gains $340m ex-UBS group, inks portfolio risk partnership

Northeast Investment Group joins the Kestra platform

Max Viscio 20 June, 2018

People Moves: CFI hires Ringo, Bernstein brings back SF office chief

The comings and goings of the private wealth space

Max Viscio 19 June, 2018

North Carolina family office opens trust company, eyes Tennessee branch

Charlotte, North Carolina-based Colony Family Offices has opened up its own trust company

Max Viscio 18 June, 2018

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