Submissions


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New Moves in the Biz


The sales manager who was once an advisor was previously with ADP Retirement Services

January 17, 2017 — 4:25 PM UTC by RIABiz

Ascensus Inc., the nation’s largest independent retirement plan and college savings services provider, has appointed Michael Sperduto as a regional vice president. Sperduto will work with with advisors, third-party administrators and financial institutions—including outsourcing partners and defined contribution investment only wholesalers—to build and maintain ...

Dan Brandenburg will join the Boston-based firm's D.C. offices

January 17, 2017 — 4:01 PM UTC by RIABiz

Dan Brandenburg joined The Wagner Group as a partner, effective Jan. 1.

Brandenburg has extensive experience in the areas of pension, 401(k) and welfare plans, executive compensation (including plans for tax-exempt organizations) and executive employment. He also has substantial experience with association-sponsored member service programs. Brandenburg represents clients ...

Fulmino's CV includes stints at Broadridge and News Corp.

January 17, 2017 — 4:00 PM UTC by RIABiz

Ascensus, the nation’s largest independent retirement plan and college savings services provider, has appointed Christian Fulmino as vice president of corporate development and M&A.  He will responsible for prioritizing M&A opportunities, evaluating potential acquisitions, valuing and structuring deals, and conducting due diligence. See: Hard numbers ...

Julie Colucci was also senior client associate at Silver Bridge Advisors, formerly Hale & Dorr Wealth Management

January 13, 2017 — 8:30 PM UTC by RIABiz

The New England Investment & Retirement Group Inc. hired Julie Colucci as paraplanner/senior client representative.

Colucci, who assumed the position in late December, is responsible for providing client support and assisting in the financial planning process. She comes to the North Andover, Mass.-based ...

The 14-year veteran of sales in the retirement arena comes to the firm from CUNA Mutual Retirement Solutions

January 13, 2017 — 8:00 PM UTC by RIABiz

Ascensus Inc., longtime recordkeeper for Fisher Investment's $60 billion of assets overseen, has hired Andy Hockman as regional vice president for the Ohio Valley region.

Hockman, whose new turf encompasses Ohio, Kentucky and West Virginia for the nation’s largest independent retirement plan and college ...

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Bob Miller: Although we compete with Addepar in the reporting domain we also provide services that they do not.

With Addepar muscling in, original UHNW software force PCR hires new CEO, triples engineering staff, kills off asset-based pricing and seeks more RIAs

Plucky Bob Miller is replacing Rob Fiore at the Wilton, Conn. firm with a keen sense of UHNW hegemony and willingness to take half an RIA loaf for reporting on managed illiquid assets

December 30, 2016 — 7:14 PM UTC by Sarah O’Brien

Brooke's Note: I am not somebody who is sold on the idea that alternatives investments are good to invest in or that they are even all that "alternative" given how many readily melted down in 2008-'09 along with everything else. Part of my skepticism lies simply ...

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The Great West alumnus will lead the business development efforts in Western states and Hawaii

January 10, 2017 — 6:35 PM UTC by RIABiz

In December, Jason Miller joined the Pentegra Retirement Services announced as regional director for qualified retirement plan sales.

Reporting to Pete Swisher, Pentegra senior vice president of national sales, Miller will lead the company’s business development efforts throughout Arizona, Hawaii, Kansas, Nevada, New Mexico and Utah ...

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Mike Durbin didn't know he'd end up as the eMoney CEO when he agreed to oversee its onboarding.

Mike Durbin takes new RIA+ job at Fidelity after an unlooked-for two-year eMoney mission concludes

After Abby Johnson had former RIA chief troubleshoot $250-million purchase, he comes back to stock shelves with robo and alt goodies

December 8, 2016 — 12:08 AM UTC by Brooke Southall

Brooke's Note: "Product" is almost a dirty word in the RIA business. It connotes something inert and laden with fees. Not a pretty picture. But products in the financial services realm are evolving and Fidelity suggests that is a reason why Mike Durbin ended up ...

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Dan Arnold: As an entrepreneur at heart, I am constantly inspired and energized by the work of our advisors and institutions.

LPL takes selling off the table and takes out boisterous Mark Casady at CEO in favor of quiet Dan Arnold

The firm's future as an independent public company is assured for now but the abrupt shift in management style poses new questions

December 6, 2016 — 12:52 AM UTC by Brooke Southall

Brooke's Note: After all the questions about who would own LPL and who would lead it into 2017 and beyond, we have answers. But the reasons the original questions got asked sit there as pregnantly as ever. LPL has 14,000 relationships with advisor affiliates, including ...

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Dirk Quayle: We can tell them: we can build the last mile to the investor.

NextCapital poaches great Aon Hewitt hunter as it tracks big institutional game terrain

Matt Clink, 39, will be the 401(k)-geared digital advisor's first CIO after bagging RBC and with three more institutional beasts in its sights

December 1, 2016 — 5:35 PM UTC by Brooke Southall

Brooke's Note: If I had a nickel for every time I have heard the pious proclamation that a company is bringing institutional quality investing to individual investors, I could buy a couple large bags of candy.  And that is what I am hearing again with ...

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