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Site Map for May 2018
Date
Title
May 31, 2018
Is David Lerner still chomping on the proprietary product apple?
May 31, 2018
Advisers can learn a lesson from Costco
May 31, 2018
Blackstone woos wealthy with tax-free hedge fund
May 31, 2018
SEC charges former Long Island broker with $8 million scam
May 31, 2018
Wells Fargo customers saddled with fake accounts to get about $35 each in $142 million settlement
May 31, 2018
Some small-caps win in the long term — but which ones?
May 31, 2018
LPL loses hybrid group managing $750 million to Triad
May 31, 2018
T. Rowe Price to lay off 150 in shuttering of Tampa operations center
May 31, 2018
More turnover at the top of Waddell & Reed
May 31, 2018
Veteran Wells Fargo team managing $505 million leaves for Raymond James
May 31, 2018
Former Transamerica broker assistant barred for forging customer signature
May 31, 2018
Biggest U.S. banks cut municipal-bond holdings
May 31, 2018
Interest groups split on delaying comments for SEC advice proposals
May 31, 2018
Tax law: Why changes to the kiddie tax are a 'big deal' for advisers
May 30, 2018
More institutional money managers joining the $1 trillion club
May 30, 2018
Sen. Warren gets Republican cosponsor on bill to fund unpaid arbitration awards
May 30, 2018
Principal Financial acquires digital advice startup RobustWealth
May 30, 2018
Former AXA broker in Arizona charged with $475,000 client theft
May 30, 2018
Some small-caps win in the long term — but which ones?
May 30, 2018
Legg Mason hopes to reverse TDF fortunes with MassMutual deal
May 30, 2018
Bill Gross had nightmare day as fears about Italy roiled markets
May 30, 2018
Wells Fargo loses veteran $500 million team to SunTrust
May 30, 2018
NY Attorney General Underwood files 99-count criminal indictment against investment adviser
May 30, 2018
3 obstacles to succession planning — and how to overcome them
May 30, 2018
Death and taxes: A conversation we must have
May 29, 2018
Ladenburg partnering advisers with startups to accelerate tech innovation
May 29, 2018
Participants' personal debt gains attention
May 29, 2018
A global call to modernize retirement systems
May 29, 2018
Blackstone woos wealthy with tax-free hedge fund
May 29, 2018
Retirement plan sponsors tread lightly with capital preservation
May 29, 2018
TV show paints bleak picture of financial planners
May 29, 2018
For recent Temple grad, career as a financial adviser is a dream job
May 29, 2018
Advisers: Technology alone won't transform your business
May 29, 2018
Women advisers driving revenue growth
May 29, 2018
Former Ameriprise rep barred for unauthorized trades
May 29, 2018
Carlyle's David Rubenstein starts family office
May 29, 2018
Morgan Stanley wants brokers to use new tech to chase $2 trillion in assets held outside the firm
May 29, 2018
Northwestern University beats Jerry Schlichter 403(b) lawsuit
May 29, 2018
Italy's woes spread to U.S. markets — and advisers' clients
May 29, 2018
How the SEC advice rule improves on the DOL fiduciary rule
May 26, 2018
Morningstar evolving well beyond its origins analyzing mutual funds
May 26, 2018
No good reason not to support auto-enrollment retirement plans
May 26, 2018
Take 5: Kunal Kapoor on travel, teaching kids about money and Chicago baseball
May 25, 2018
SEC proposes rules to make ETF research easier for broker-dealers
May 25, 2018
Late to the alternative-investment party
May 25, 2018
Safest assets provide no protection amid the brewing rate storm
May 25, 2018
UBS loses $480 million team to Raymond James
May 25, 2018
Former hedge fund CFO barred, ordered to pay $227,500 penalty
May 25, 2018
Why advisory firm founders and successors can't get on the same page
May 25, 2018
Internship led to full-time job with Merrill team in Boston
May 25, 2018
Tax reform boosts fund companies' bottom line
May 25, 2018
Ex-Edward Jones broker sues former firm, alleging racial bias
May 25, 2018
Focus Financial IPO could be a sell signal for RIAs
May 25, 2018
$14 billion hybrid Sheridan Road staying with LPL, launching own RIA
May 24, 2018
Tax reform puts prenups in jeopardy
May 24, 2018
IRS warns taxpayers about using property taxes as 'contributions' to charity
May 24, 2018
Wells Fargo loses $186 million team to Kestra
May 24, 2018
Finra panel awards couple $800,000 in case against Oppenheimer
May 24, 2018
In a first, University of Chicago settles 403(b) lawsuit for $6.5 million
May 24, 2018
Meet William Glubiak, CEO of $2 billion firm Cedar Brook Group
May 24, 2018
Piwowar defends SEC's best-interest rule
May 24, 2018
Focus Financial files for an IPO valued at $100 million
May 24, 2018
Separating fact from fiction with fund investor behavior
May 23, 2018
RIA in a Box acquired by private equity firm Aquiline Capital
May 23, 2018
Morgan Stanley wants to double asset manager's size to $1 trillion
May 23, 2018
Exactly how rich is 'rich'?
May 23, 2018
Clayton: SEC left 'fiduciary' out of new advice rule to avoid investor confusion
May 23, 2018
Former Barclays wealth management executive wins $2.7 million arb award from former firm
May 23, 2018
SEC bars Long Island broker for insider trading
May 23, 2018
Insurers are selling off old annuity business — what advisers need to know
May 23, 2018
Smartphones, emerging markets are pockets of value in today's market
May 23, 2018
Fintech leaders address adoption and integration
May 23, 2018
From the C Suite with ProVise's Ray Ferrara: The best leaders know when it's time to follow
May 23, 2018
How 401(k) advisers can increase their fees
May 22, 2018
5th Circuit denies states' second attempt to defend DOL fiduciary rule
May 22, 2018
Ameriprise team managing $282 million moves to Commonwealth
May 22, 2018
Former Merrill broker suspended for check-kiting, fined $5,000
May 22, 2018
As it gets easier to start an ETF, is there still a role for white-label fund firms?
May 22, 2018
Connecticut RIA adds adviser managing $300 million
May 22, 2018
SEC official addresses criticism of best-interest standard for brokers
May 22, 2018
Supreme Court decision likely to prevent brokers from filing class-action lawsuits
May 22, 2018
David Lerner compliance officer loses 'nonsensical' and 'specious' appeal over reporting tax liens
May 22, 2018
Indexed annuity sales rise in Q1 as DOL fiduciary rule stalls
May 22, 2018
Running this bond ETF is like solving a $55 billion Rubik's Cube
May 22, 2018
Roth conversions can boost Medicare premiums
May 22, 2018
What one thing would you do to assure your firm is competitive for the next decade?
May 22, 2018
UBS latest to make push for young, diverse advisers
May 21, 2018
Iconiq fires executive after 30-year-old sexual assault charge comes to light
May 21, 2018
Gold bulls head for the exits on strong dollar, lack of fear
May 21, 2018
Unlimited vacation time: a nice perk no one expects you'll use
May 21, 2018
The end of the Goldilocks credit markets?
May 21, 2018
Stock buybacks hit record, but is that a good thing?
May 21, 2018
Two Morgan Stanley brokers sue their old firm as they walk out the door
May 21, 2018
Pass-through tax strategies for business-owner clients
May 21, 2018
Finra anticipates oversight role for SEC advice rule
May 21, 2018
State regulators launch 'Operation Cryptosweep' to crack down on fraud
May 21, 2018
Arbitration over employment agreement nets adviser $267,000
May 21, 2018
When skewed super-OSJ priorities raise red flags for retirement plan advisers
May 21, 2018
Envestnet Yodlee raises the bar with AI-powered apps
May 19, 2018
Financial schemes against seniors are most often committed by people closest to them
May 19, 2018
Transparency, credibility, fairness: Finra's decision to explain rationale for penalties is a welcome one
May 19, 2018
Why we must create a more diverse and sustainable financial planning profession
May 18, 2018
Rich are abuzz over tax-cutting dynasty trusts
May 18, 2018
The Gradual Rise of Actively Managed ETFs
May 18, 2018
The gig economy as a backup retirement plan
May 18, 2018
UBS wins $9.7 million Finra award
May 18, 2018
Long-term outlook for gold is upbeat given tech, emerging markets
May 18, 2018
Wells Fargo's latest issue emerges amid bank's rebranding campaign
May 18, 2018
The Latest in Financial Adviser #FinTech (May 2018)
May 18, 2018
Pope Francis wants financial advisers to work like fiduciaries
May 18, 2018
Envestnet details plan to add annuities to wealth management platform
May 17, 2018
Envestnet Tamarac announces new client portal features and financial planning
May 17, 2018
Employees at best places to work focus on the person — and the fun
May 17, 2018
Those in managed accounts, target-date funds get better returns than DIY investors
May 17, 2018
The gig economy as a backup retirement plan
May 17, 2018
Wells Fargo sees slowdown in advisers exiting this year
May 17, 2018
JPMorgan Chase to make alt investments available to the many
May 17, 2018
Using sabbaticals to attract and retain top talent
May 17, 2018
States trying to save DOL fiduciary rule appeal rejection of effort to intervene
May 17, 2018
What do we really know about our businesses?
May 17, 2018
What's the next act for Waddell & Reed's advisers?
May 16, 2018
SEC enforcement officials say they focus on quality, not quantity, of cases
May 16, 2018
Waddell & Reed sees flurry of senior staff departures
May 16, 2018
SEC, Finra nab two firms for AML violations
May 16, 2018
Jordan Belfort, 'Wolf of Wall Street,' falling behind on restitution
May 16, 2018
California RIA William Jordan settles with SEC on fraud charges
May 16, 2018
Oregon auto-IRA success shows national program would 'work well,' advocate says
May 16, 2018
Value funds could wake from long slumber
May 16, 2018
Mass Mutual to hike some LTC premiums by 77%
May 15, 2018
Team advising on $2 billion leaves Avondale for Janney
May 15, 2018
ETrade's custodial unit adds new investment choices
May 15, 2018
ETF flows show tech is back in vogue
May 15, 2018
Philips North America reaches $17 million settlement in 401(k) lawsuit
May 15, 2018
LPL, Lightyear Capital indicate interest in acquiring Cetera Financial Group
May 15, 2018
Iconiq Capital co-founder leaves to start rival wealth-management firm
May 15, 2018
California rep files class action suit against Morgan Stanley
May 15, 2018
Finra sheds more light on how it determines fine amounts
May 15, 2018
Almost half of near-retirees fail basic Social Security quiz
May 15, 2018
Advisers and clients agree: Life's better in the wealth management ecosystem
May 15, 2018
Wells Fargo struggles to attract 401(k) business in wake of banking scandals
May 15, 2018
Seven areas where smaller advisory firms are doing better, according to employees
May 15, 2018
Culture can slip as firms grow
May 15, 2018
Team managing $180 million switches from LPL to Commonwealth
May 14, 2018
Serial RIA entrepreneur Peter Raimondi starts third firm
May 14, 2018
Michael Murray only latest to leave LPL's recruiting staff
May 14, 2018
Short-dated Treasury ETFs see huge inflows
May 14, 2018
Bond mark-up transparency rule could help investors, cause more work for brokers
May 14, 2018
The passive-investing bid for equities is roaring back
May 14, 2018
Video marketing: The 21st century version of judging a book by its cover
May 14, 2018
A millennial's perspective: The frustrating misconception advisers have about building a Next Gen value proposition
May 14, 2018
LPL closing Worksite Financial Solutions 401(k) platform
May 12, 2018
Financial advisers embrace virtual offices
May 12, 2018
Financial advisers must manage retirees' aversion to risk with behavioral finance skills
May 11, 2018
Divorce 2019: How to use IRAs and 401(k)s to ease future alimony planning
May 11, 2018
Slow Adoption of Actively Managed ETFs: Unveiling the Reasons
May 11, 2018
Future advice business will still require human touch for clients
May 11, 2018
Want to boost diversity of advisers and clients? Begin with the business case
May 11, 2018
Now you can rent blue-chip art for your walls
May 11, 2018
Countdown to retirement
May 11, 2018
Adviser's Consultant: Building a flexible succession plan
May 11, 2018
Adding diversity: A man's eye view of a women's conference
May 11, 2018
Insurers becoming more stringent with long-term-care policies
May 11, 2018
Advisers must expand beyond financial planning for future to tackle life today
May 11, 2018
SEC's Hester Peirce blasts agency for pursuing small infractions
May 10, 2018
All is not lost when it comes to the mortgage interest deduction
May 10, 2018
Finra bars broker it was investigating for taking customer funds
May 10, 2018
How investors can spot market bubbles
May 10, 2018
Warren Buffett be damned, case for value investing wanes
May 10, 2018
With female managing partner in the wings, Edward Jones emphasizes diversity
May 10, 2018
CFP Board takes on racial, ethnic diversity
May 10, 2018
Iowa insurance regulator cautions SEC about modifying suitability rule
May 10, 2018
Harnessing RIA M&A strategies for growth
May 10, 2018
Chattanooga pension fund accuses Wells Fargo of fraud in revenue sharing
May 09, 2018
FedEx shifts pension obligations by purchasing $6 billion group annuity
May 09, 2018
New report sounds alarm over demographic changes facing advice industry
May 09, 2018
CFP Board fights restrictive state licensing requirements
May 09, 2018
SEC publishes advice rule, sets Aug. 7 comment deadline
May 09, 2018
Meet the firm powering digital innovation at Vanguard and Betterment — Amazon
May 09, 2018
Bill Kline out as head of Gallagher's $55 billion retirement-plan aggregator
May 09, 2018
BlackRock bets on small-time investors with stake in Acorns
May 09, 2018
Arthur Grant looks back on 33 years at the helm of Cadaret Grant
May 09, 2018
Money managers parse the current state of the market, and how they advise their clients
May 09, 2018
Cetera Financial Group snags another senior LPL executive
May 09, 2018
Social Security's most confusing rules
May 09, 2018
What are the business priorities of elite 401(k) advisers in 2018?
May 08, 2018
Target-date-fund fees fall for ninth consecutive year
May 08, 2018
Emerging Asia is where the growth is, but your index fund might not find it
May 08, 2018
Finra fines Fifth Third Securities $4 million for variable-annuity violations
May 08, 2018
Piwowar to resign from SEC
May 08, 2018
Wells Fargo team managing $566 million moves to Baird
May 08, 2018
All that smart beta can obscure the big picture
May 08, 2018
Piwowar departure will complicate action on SEC advice rule
May 08, 2018
Latest version of Morningstar Direct tailored to wealth management pros
May 08, 2018
Four challenges in using annuities for retirement planning — and how to overcome them
May 08, 2018
Navigating Transitions: 5 Essential Keys to Success
May 07, 2018
Auto features boost plan participants' retirement income replacement level
May 07, 2018
Fidelity reportedly fires about 200 for abusing employee benefit
May 07, 2018
Pimco's Dan Ivascyn on inflation risk and market volatility
May 07, 2018
Former broker in Philadelphia sentenced to five years in prison
May 07, 2018
N.J. homeowners get law to skirt Trump's lowered tax deductions
May 07, 2018
Northwestern Mutual shutting down LearnVest
May 07, 2018
Fidelity manager hasn't been this excited by bonds in five years
May 07, 2018
Advisers push retired clients to embrace investment risk
May 07, 2018
How advisers can spot market bubbles
May 07, 2018
Court ruling aside, for now DOL will rely on fiduciary rule to govern investment advice
May 07, 2018
Asset managers shift 401(k) distribution toward RIA aggregator firms
May 07, 2018
State-registered investment advisers, mostly one and two-person offices, total 17,688
May 07, 2018
Utah moves to fine Cetera, LPL and CUSO over credit union violations
May 07, 2018
Merger of CFO4Life and Vogel creates $1.2 billion firm
May 07, 2018
Time: An asset to be invested, not spent
May 05, 2018
Her road to financial advice was paved by her Vietnamese parents
May 05, 2018
It's time to educate your clients, and yourself, about alternative investments
May 05, 2018
The worst possible time to retire
May 04, 2018
Recent rule changes to boost retiree health costs
May 04, 2018
Research Affiliates'Arnott sounds a warning on market bubbles
May 04, 2018
Inverted yield curve triggers warnings
May 04, 2018
Fiduciary advocates disagree SEC advice rule harmonizes standards
May 04, 2018
Building a team can help advisers build their practice
May 04, 2018
Corporate bonds look risky after a decade of heavy issuance
May 04, 2018
Gig ruling creates hurdle for employers
May 04, 2018
Advisers need this new approach to aging clients
May 04, 2018
Funds that let you tap into M&A fever
May 03, 2018
How criminals steal $37 billion a year from America's elderly
May 03, 2018
America is turning out more millionaire retirees than ever
May 03, 2018
Q&A: Aaron Schaben on being Ron Carson's heir apparent
May 03, 2018
Sanctioned Ponzi scheme salesmen keep shilling planning, advice
May 03, 2018
Bill Gross says Treasuries are in 'hibernating bear market'
May 03, 2018
What active share can and can't tell you
May 03, 2018
Former broker fined $10,000 and suspended six months over expense account
May 03, 2018
Countdown to retirement
May 03, 2018
Fidelity sues former broker's RIA firm for misuse of trade secrets
May 03, 2018
Redefining efficiency in your business
May 03, 2018
3 insights on the Financial Engines-Edelman combination and how it might affect you
May 03, 2018
DOL guidance on ESG funds shouldn't have chilling effect on social impact investments
May 03, 2018
As curtains close on DOL fiduciary rule, SEC advice rule takes center stage
May 03, 2018
LPL hits target for attracting NPH assets
May 03, 2018
How to attract high-net-worth clients
May 02, 2018
81-year-old Mark Mobius says no to retirement, yes to new venture
May 02, 2018
What advisers should tell clients about the inverted yield curve
May 02, 2018
5th Circuit denies AARP, states motion to defend DOL fiduciary rule
May 02, 2018
A radical idea: Pay clients for the privilege of managing their funds
May 02, 2018
Beyond BrokerCheck: SEC adds online adviser search tool
May 02, 2018
Advisers must align a client's portfolio with these 3 personal risk measures
May 02, 2018
AXA loses $150 million team to Ameriprise
May 02, 2018
LPL agrees to $26 million settlement with states over unregistered securities
May 02, 2018
Robo advisers are stepping up their financial planning
May 02, 2018
The Super Bowl, advice and the markets
May 02, 2018
Neuberger Berman launches specialty finance group
May 02, 2018
Arbitration losses could add to penalties for brokers violating Finra rules
May 02, 2018
6 big questions about the SEC advice rule
May 02, 2018
The Rising Cost of Risk
May 01, 2018
Finra bars former NY Life broker over unauthorized annuity signature
May 01, 2018
China's HNA drops bid to buy Anthony Scaramucci's SkyBridge
May 01, 2018
Bond ETFs are awash in cash
May 01, 2018
Justice Department lets deadline to defend DOL fiduciary rule pass. What's next?
May 01, 2018
Stifel CEO Ron Kruszewski blasts firms that try to restrict broker movement
May 01, 2018
Low returns create bleak outlook for clients in 'retirement red zone'
May 01, 2018
Key to turning DIY investors into clients: Get specific
May 01, 2018
7 ways to build up assets in a Roth account
May 01, 2018
Fired Merrill broker gets $750,000 in damages for defamation
May 01, 2018
Wells Fargo adviser in Rochester, N.Y., moves to Raymond James
May 01, 2018
No matter how bad the share-class violation, SEC won't oppress those who self-report
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