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San Antonio, Texas-based USAA has hired Keith Sloane, as head of third-party distribution, responsible for expanding the firm’s strategic partnerships with third-party platforms and registered investment advisers.
April 10 -
The Advisor Solutions Group at Neuberger Berman LLC has added 11 senior regional directors in 10 new regions as it seeks to grow its mutual funds business among wirehouses and regional broker dealers.
April 10 -
There’s been a death in the Vanguard Family. Howard B. Schow, co-founder and chairman emeritus of PRIMECAP Management Company and longtime co-manager of several Vanguard funds, has passed away at 84 years old.
April 10 -
Charles Hart, who had been an independent advisor since 1982, has joined Ameriprises employee broker-dealer division. Hart, who managed $114 million in client assets, is now based Ameriprise's Plano, Texas, office.
April 10 -
Asset manager and fund administrator North Trust Corp. announced a number of leadership changes, including the hiring of David Fox Jr. as head of Northerns Corporate & Institutional Services (C&IS), for the Americas. Also, Northern Trust Vice Chairman and Management Group member Sherry Barrat will retire at the end of June.
April 9 -
Transamerica Retirement Services has promoted Chad Brown to division vice president for the companys southern region.
April 5 -
Olney, M.D.-based Arrow Investment Advisors has named Joseph Cunningham to the newly created role of Director of Capital Markets.
April 5 -
Oaks, Pa.-based SEI, a provider of investment processing, fund processing, and investment management business outsourcing services, has appointed Stephen Beinhacker as Global Head of Equities for SEI's Investment Management Unit.
April 5 -
MassMutual's Retirement Services Division has added a new senior relationship manager and a managing director to its sales and client management organization increasing the company's support for retirement plan customers in the South/Central region.
April 4 -
Principal Funds has added three new regional directors to the firm’s investment only team: Marcel Dawson, Gary Nakamura and Pamela Suing. Each will focus on growth within the registered investment advisor distribution channel.
April 3 -
BlackRock Investments Canada Inc. has appointed Mary Anne Wiley managing director and head of its combined exchange-traded fund business, replacing Som Seif, founder and chief executive of the recently-acquired Claymore Investments, Inc.
April 3 -
Barclays has snapped up two financial advisors from Morgan Stanley Private Wealth Management as it continues to expand its Los Angeles-area reach.
April 3 -
SEI, a provider of investment processing, fund processing, and investment management business outsourcing services, has appointed Stephen Beinhacker as Global Head of Equities for SEI's Investment Management Unit.
April 3 -
J.P. Morgan Retirement Plan Services, the retirement plan record keeping business of J.P. Morgan Asset Management, hired Carol Waddell as managing director and head of product and marketing.
April 3 -
J.P. Morgan Retirement Plan Services (RPS), the retirement plan record keeping business of J.P. Morgan Asset Management, hired Carol Waddell as managing director and head of product and marketing.
April 2 -
Oaks, Pa.-based SEI, a provider of investment processing, fund processing, and investment management business outsourcing services, has appointed Stephen Beinhacker as Global Head of Equities for SEI's Investment Management Unit.
April 2 -
Wells Fargo promoted Dean Junkans to the new role of chief investment officer of both Wells Fargo Advisors and Wells Fargo Private Bank. Junkans previously served as chief investment officer of the private bank.
April 1 -
The Chief Investment Strategist at Janney Montgomery Scott and Managing Director of Parker/Hunter Asset Management discusses his 26 years in the securities business.
April 1 -
Find a manager for whom you are priority No. 1 at deal timenot one who will woo you and forget you
April 1 -
Peter Dorsey has been named the new managing director of institutional sales for TD Ameritrade Institutional, a division of TD Ameritrade, Inc.
March 30

