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New Moves in the Biz

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 ...

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., the nation’s largest independent retirement plan and college savings services provider, and 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 ...

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

Pentegra Retirement Services announced that Jason Miller has joined the organization as regional director for qualified retirement plan sales in December.

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 ...

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 ...

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 ...

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 ...


Gordon is betting his career on the premise that RBC has gotten its act together in the two years he was away

November 28, 2016 — 8:58 PM UTC by Sarah O’Brien

Brooke's Note: RBC has gone hot and cold on RIA custody business. Its interest seemed to reach a zenith in 2010 when it bought the old RIA custody unit of Bear Stearns from J.P. Morgan. Royal Bank of Canada is hustling to become an ...

Abby Johnson takes charge at a buckle-your-seat-belts moment for the closely held family trust.

Abigail Johnson to succeed her father as head of the board -- but will her leadership style resonate in a company seeking a new true north?

CEO since 2014, 'Abby' now heads a 401(k) king amid DOL hell and a mutual fund leader as ETFs take over at a giant company at a time when small and agile wins the race

November 22, 2016 — 7:17 AM UTC by Janice Kirkel

Brooke's Note: That was fast. Two years went by like nothing since Abby Johnson grabbed the CEO scepter with that absent stare that obscures what thoughts are getting thunk behind the eye sockets. We almost haven't had a chance to think about how to rate ...

David Barrer: I have relationships with recordkeepers and advisors that span my 30-plus years in this business.

With DOL wind at its back, Pentegra Retirement Services hires David Barrer to newly created TPA czar position to sail past its $11-billion AUM watermark

Barrer will apply his 32 years of ERISA retirement plan experience for dead reckoning navigation of 'yet to be determined' liability under the new fiduciary rules

November 3, 2016 — 5:45 PM UTC by Sarah O’Brien

Brooke's Note: If you seek hard evidence that our understanding of how the DOL rules will play out is soft, have a look at the whirlwind of personnel moves going on with ERISA experts being granted unprecedented power and opportunity. Andy Sieg replacing John Thiel at ...

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