Wealth management

The merger, effective Jan. 1, boosts the assets under management of the Seattle-based firm to more than $1 billion.

The tax preparation company agreed to pay as much as $20.2 million to customers that bought its Express IRAs.

A small RIA hopes a personalized service for retirement plans will attract more clients.

On Wall Street, Top 40 Advisors Under 40

Bank Investment Consultant Top 50 Bank Reps 2009

On Wall Street magazine's annual listing the Top 40 Advisors Under 40

On Wall Street magazine and MainStay Investments present the second annual Branch Managers of the Year.

The web-based 401(k) software has created a Plan Management Dashboard that rates plans for sponsors and advisers and how the scores compare to similar plans.

Chief Executive Officer Edward “Ned” Johnson has told the firm’s adviser services division to reduce its profit margin targets

The retail investment arm is launching a new high-net-worth wrap product that allows financial advisers to build, manage and customize portfolios of funds and individually managed accounts.

SEI Investments has launched SEIBusinessBuilder.com to assist planners with marketing and client relationship issues.

ING Pilgrim Funds of Scottsdale, Ariz. has filed a preliminary proxy with the Securities and Exchange Commission seeking to replace J.P. Morgan of New York as the sub-advisor to its Pilgrim Research Enhanced Index Fund with Aeltus Investment Management of Hartford, Conn., an affiliated company, according to the proxy.

Aegon USA/Transamerica of Los Angeles has formed a new investment management company, principally to give equity interest in the new company to the portfolio managers and other key executives formerly with Transamerica Investment Services, said Richard Latzer, chief executive officer of the new investment advisor, Transamerica Investment Management.

The Managers International Equity Fund has hired a third manager to sub-advise a portion of the $675 million fund.