Financial adviser Press Release
|06/04/2020 - 09:59||
Microchip Technology Incorporated $1 Billion Convertible Notes Exchanges
Davis Polk advised the financial adviser to Microchip Technology Incorporated in connection with Microchip’s privately negotiated exchanges of $383.3 million aggregate principal amount of its 1.625% convertible senior subordinated notes due 2025 and $643.9 million aggregate principal amount of its 1.625% convertible senior subordinated notes due 2027 for cash and shares of Microchip’s common stock.
|05/29/2020 - 16:03||
Wellspring Capital Management Acquires Steele Solutions, Inc.
Wellspring Capital Management Group LLC (“Wellspring”), a New York-based private equity firm, announced that on May 29, 2020, it closed the acquisition of Steele Solutions, Inc.
|05/14/2020 - 15:08||
RetireOne & Fiduciary Exchange (FIDx) Announce Partnership to Elevate the Wealth Management Process by Integrating Insurance Planning & Transactions
The Alliance helps Ease the Way for Registered Investment Advisers to Integrate Insurance Planning into Service & Advice for Clients.
|05/14/2020 - 14:49||
Highland Global Allocation Fund Declares Monthly Distributions of $0.084, Continues 8.5% Level Distribution Policy for 2020
DALLAS, May 14, 2020 / / — Highland Global Allocation Fund (NYSE: HGLB) (“the “Fund”) today announced that it will continue its 8.5% level distribution policy in 2020. The Fund is therefore declaring distributions of $0.084 per month for January through December 2020.
|05/13/2020 - 14:07||
HTK Adopts AdvicePay to Support Enhanced Financial Planning Solutions
Innovative payment processing platform enables HTK financial professionals to seamlessly offer subscription-based services.
|05/05/2020 - 13:07||
Forbes Recognizes Five Northwestern Mutual Advisors on Annual Top Women Wealth Advisors List
MILWAUKEE, May 5, 2020 / / -- Northwestern Mutual today announced that five financial advisors affiliated with Northwestern Mutual Wealth Management Company have been named to the 2020 edition of the Forbes Top Women Wealth Advisors list.
|05/05/2020 - 03:50||
Senior doctors: Protect your retirement assets amid COVID-19 downturn
Your retirement future looked pretty rosy at New Year’s 2020, with financial markets at historic highs and retirement account balances rising daily. Your savings and investment strategies looked like genius.
|04/30/2020 - 23:31||
Q&A with Ameriprise Financial and Columbia Threadneedle Investments experts
Secure site registration, user ID, password FAQ Ameriprise® Visa Signature® Credit Card Program FAQs Ameriprise credit card changes FAQ Ameriprise Auto & Home Insurance FAQ Unclaimed Property and Escheatment FAQs Your guide to Estate Settlements Money Movement and Cash Solutions FAQ Resources for senior citizens and vulnerable adults Equity and options order handling.
|04/29/2020 - 11:51||
Broad Alliance of Financial Services and Public Interest Groups File Petition for Rulemaking Challenging SECs Unlawful Regulation by Enforcement
Broad Alliance of Financial Services and Public Interest Groups File Petition for Rulemaking Challenging SEC’s Unlawful Regulation by Enforcement.
|04/27/2020 - 13:07||
Envestnet Offers Complimentary Access to Digital Financial Literacy Courses
Envestnet Leverages Strategic Partnership with EVERFI through Envestnet Institute in Classrooms to Offer Critical Skills Education.
|04/24/2020 - 16:32||
UNT senior takes second place in IARFC National Financial Plan Competition
Jackie Battles, a University of North Texas financial planning senior, was recently awarded second place in the International Association of Registered Financial Consultants’ National Financial Plan Competition out of 98 other teams and individuals from 15 universities across the United States.
|University of N...|
|04/24/2020 - 15:59||
Louis Gracia and Vanessa Horton Named Associate Directors of Investment Adviser/Investment Company Examination Program in Chicago Regional Office
Together, Mr. Gracia and Ms. Horton will oversee more than 70 lawyers, accountants, and examiners responsible for inspections of SEC-registered investment advisers and investment companies in Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, and Wisconsin.
|04/22/2020 - 20:46||
CFA Institute: Investor protections improve in Asia Pacific as regulators focus on sales inducements
Further action needed to ensure a high degree of transparency, effective management of conflicts of interest, and alignment with long term client interests.
|04/22/2020 - 10:06||
Institute of Business & Finance Announces a New CFS® Designee
The Institute of Business & Finance (IBF) recently awarded Asa Lakeman with the first nationally recognized mutual fund designation, CFS® (Certified Fund Specialist®).
|04/20/2020 - 23:59||
SEC Proposes to Modernize Framework for Fund Valuation Practices
The Commission last addressed valuation practices under the Investment Company Act in a comprehensive manner in a pair of releases issued in 1969 and 1970. Since then, markets and fund investment practices have evolved considerably. Many funds now engage third-party pricing services to provide pricing information, particularly for thinly traded or more complex assets. In addition, significant regulatory developments have altered how boards, investment advisers, independent auditors, and other market participants address valuation under the federal securities laws.
|04/20/2020 - 08:50||
Cassandra Labbees Quoted in Adviser Industry Impact of COVID-19
Cassandra Labbees, Member of the Firm in the Employee Benefits practice, in the firm’s New York office, was quoted in Plan Adviser, in “Adviser Industry Impact of COVID-19,” by John Manganaro.
|Epstein Becker Green|
|04/16/2020 - 14:07||
21 Northwestern Mutual Advisors Named to the Financial Times 400 Top Financial Advisors List
MILWAUKEE, April 16, 2020 / / -- Northwestern Mutual today announced that 21 financial advisors affiliated with Northwestern Mutual Wealth Management Company have been named to the 2020 edition of the Financial Times' 400 Top Financial Advisors list.
|04/16/2020 - 10:46||
Ameriprise Financial Welcomes Former Registered Investment Advisor With $275 Million in Assets
Robert Bacino found Ameriprise had the tools and support to streamline his practice and free him up to spend even more time with clients.
|04/13/2020 - 17:11||
Securities America Recruits 20/20 Wealth Management
Alabama-based firm with more than $120M in client assets joins through Arbor Point Advisors and Super-OSJ Bay View Capital Advisory Group.
|04/08/2020 - 09:44||
Even Prior To Spike In Unemployment, One Third Of Americans Were Within Three Missed Paychecks Of Having To Either Borrow Money Or Skip Bills
Northwestern Mutual study finds people see cash as their best financial defense against uncertainty and volatility, with stocks, bonds and life insurance in a three-way tie for second.
|04/08/2020 - 05:45||
Envestnet Offers Complimentary Access to MyBlocks Planning Tool by MoneyGuide
Helping More Americans Plan for the Future and Work Toward Financial Wellness During Time of Crisis.
|04/07/2020 - 15:22||
SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS
Initial examinations of Regulation Best Interest will focus on assessing whether broker-dealers have made a good faith effort to implement policies and procedures reasonably designed to comply with Regulation Best Interest, including the operational effectiveness of broker-dealers’ policies and procedures.
|04/07/2020 - 12:04||
Securities America Snags $120 Million Team From Cetera
Despite a global pandemic, the recruiting wars continue, with Auburn, Ala.-based 20 / 20 Wealth Management Group joining newly acquired Securities America.
|04/06/2020 - 23:12||
PCS Retirement, Envestnet Retirement Solutions Partner to Provide a Fiduciary Overlay & First-of-its-Kind, Multi-Strategist Retirement Plan Solution
Model Portfolios from Envestnet are Available Via PCS Recordkeeping Platform as Investment Options for Advisor-Serviced Retirement Plans Advisors can View Real-Time Plan & Participant Data from PCS within Envestnet Wealth Management Platform.
|03/31/2020 - 17:32||
Pacific Life Launches Advisory Annuities through DPL Financial Partners
The launch continues Pacific Life’s expansion into the independent registered investment adviser market.
|Pacific Life In...|