Plaze to Retire After 30 Years at SEC
As deputy director of the Securities and Exchange Commission (SEC) Division of Investment Management, Robert E. Plaze most recently worked on money market funds.
Deals & People
Kilar Added to Pioneer’s RIA Team
Pioneer Investments expanded its sales team of registered investment advisers (RIAs) by adding a regional vice president and realigning the division that supports the RIA channel.
LPL Financial Adds Advantage Financial to Platform
The independent broker/dealer LPL Financial LLC, a wholly owned subsidiary of LPL Financial Holdings Inc., announced its affiliation with Advantage Financial Group (AFG).
BNY Mellon Hires Cronin as SVP
Dan Cronin was named senior vice president in BNY Mellon Investment Management, responsible for business development in the registered investment adviser (RIA) channel.
Towers Watson Adds Solutions and Business Development Director
Towers Watson hired Doug Vander Linde to serve as director of solutions and business development, Americas.
Focus Financial Partners Gains Access to Mercer's Insights
Focus Financial Partners’ firms will have access to Mercer’s research and intellectual capital, per an enterprise agreement.
PenChecks Adds Midwest Regional Sales Director
PenChecks Inc. hired Ray Zittlow, AIF, as its Midwest regional sales director.
AIG's SunAmerica to Acquire Woodbury Financial Services
SunAmerica Financial Group Inc. agreed to acquire Woodbury Financial Services Inc., a brokerage unit of The Hartford Financial Services Group Inc.
TD Ameritrade Institutional Names Managing Director of Marketing
In her new role, Kate Healy is in charge of increasing the firm's awareness among 4,000 registered investment advisers (RIAs).
Allianz Appoints Senior Director of Strategy
Allianz Life Insurance Co. of North America (Allianz Life) promoted Emily Reitan to senior director of strategy and business development.
Mooradian Named President, CEO of HighMark Capital
Union Bank in San Francisco appointed Dennis J. Mooradian as president and chief executive of HighMark Capital Management Inc.
‘Retirement Plan Adviser Team of the Year’ Forms New Company
The Indianapolis retirement plan and institutional investment advisers, formerly known as The Prince Group, have established Praxis Fiduciary Advisors LLC.
Mutual of Omaha Appoints Three to Leadership Positions
Mutual of Omaha’s Retirement Plans Division named Diane Kolvek and J. Michael Peddicord as regional sales directors, and Robert Nourse as national accounts channel manager.
Old Mutual Appoints Harrington Consultant Relations Director
John Harrington was named vice president and director of U.S. Consultant Relations for Old Mutual Asset Management (OMAM).
Mercer Selects Millennium Trust for IRA Rollover Solution
Mercer's Outsourcing business selected Millennium Trust Co. as the exclusive provider for its clients' automatic IRA distribution needs.
MassMutual Promotes Cabrera to Southeast Sales Director
MassMutual's Retirement Services Division promoted Niel Cabrera to sales director covering the Southeast region, effective July 1.
New York Life Retirement Plan Services Expands Sales Force
Mark Dehmel joined New York Life Retirement Plan Services as vice president of sales for the Western region of the country.
South Carolina Selects Columbia Management as Program Manager
South Carolina chose Columbia Management to be the program manager of its college savings plan.
United Benefit Advisors Names CEO
Thomas Mangan was appointed chief executive of United Benefit Advisors (UBA), an independent employee benefits advisory organization.
Financial Behaviorist Joins Achaean as Academic Adviser
Achaean Financial said that Shlomo Benartzi, an authority on behavioral finance, has agreed to serve as the firm’s first academic adviser.