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Site Map for February 2019
Date
Title
Feb 28, 2019
`Investing on steroids' pays off as thematic ETFs outperform
Feb 28, 2019
HSA assets should hit $75 billion by end of 2020, study projects
Feb 28, 2019
Cetera Financial Group reels in $5 billion in assets to start 2019
Feb 28, 2019
March 9, 2009: Financial advisers share lessons, scars from rock bottom
Feb 28, 2019
New Jersey poised to create auto-IRA program
Feb 28, 2019
Adviser managing $190 million leaves Wells Fargo for Alex. Brown
Feb 28, 2019
Key Senate Democrat raises concerns about SEC advice reform proposal
Feb 28, 2019
Leading to last: Growing an advisory firm so it will continue on
Feb 27, 2019
Chicago-area 'adviser' convicted in $10 million swindle
Feb 27, 2019
Tax incentive for those who can afford to purchase a fancy jet
Feb 27, 2019
Cambridge Associates reaches diversity milestone: half of leadership team are women
Feb 27, 2019
Fidelity says it fully discloses fund fees in 401(k) plans
Feb 27, 2019
Wells Fargo sees 'possible' legal losses rising by $500 million
Feb 27, 2019
Fintech competitors seek opportunity in Envestnet Tamarac acquisition of Schwab PortfolioCenter
Feb 27, 2019
Democrats offer `Medicare for All' bill to transform health care
Feb 27, 2019
CFP Board chief executive Kevin Keller joins $1 million compensation ranks
Feb 27, 2019
Are the economics of active management becoming unsustainable?
Feb 26, 2019
JPMorgan's $50 billion fund is cutting equities on dovish Fed
Feb 26, 2019
Outsourcing is route to greater growth, Fidelity study finds
Feb 26, 2019
Creative Planning makes first acquisition, adding $500 million in AUM
Feb 26, 2019
Advisers serving $800 million in assets leave Ameriprise for LPL
Feb 26, 2019
SALT cap will affect nearly 10.9 million people
Feb 26, 2019
Two IBDs look at technology differently
Feb 26, 2019
Active managers change 401(k) sales divisions
Feb 26, 2019
Morningstar study says advisory clients are stuck on investment performance
Feb 26, 2019
The 10 biggest threats for retirement plan advisers
Feb 26, 2019
Reset your thinking for 2019
Feb 26, 2019
Medicare and the high cost of prescription drugs
Feb 25, 2019
Warburg Pincus to buy majority stake in Kestra Financial
Feb 25, 2019
Most economists see U.S. recession by 2021
Feb 25, 2019
Fidelity sued for 'secret payments' in 401(k) plans
Feb 25, 2019
UBS team managing $738 million near Detroit leaves for Raymond James
Feb 25, 2019
Bank of America said to drop Merrill Lynch name from investment bank
Feb 25, 2019
Social Finance plans no-fee ETFs
Feb 25, 2019
As volatility rises, United Capital gives advisers crash course in alts, options
Feb 25, 2019
All robo, no advice
Feb 25, 2019
Opportunity-zone investments — are they right for your clients?
Feb 25, 2019
A recession? Financial advisers say it's right around the corner — or not
Feb 25, 2019
SEC Regulation Best Interest allows harmful broker practices, state regulators say
Feb 23, 2019
What advisers can do to help older clients start a new business
Feb 23, 2019
Now, not later: RIA custody confusion must be acknowledged by the SEC
Feb 23, 2019
Middle-aged and out of work: When clients over 50 lose their jobs, advisers become a lifeline
Feb 23, 2019
How to recruit and retain a diverse workforce
Feb 22, 2019
Finra expungement: More limitations on the way
Feb 22, 2019
SEC settles fraud case with jailed former Morgan Stanley adviser
Feb 22, 2019
UBS prepares for impact of massive $5 billion fine
Feb 22, 2019
Should you name a trust as an IRA beneficiary?
Feb 22, 2019
Wells Fargo CEO Tim Sloan could be hard to oust — here's why
Feb 22, 2019
Is Reg BI headed for the courts?
Feb 21, 2019
Cross-selling can be lucrative — and dangerous — for big brokerages
Feb 21, 2019
Focus Financial rides RIA consolidation to 37 percent annual revenue growth
Feb 21, 2019
Philadelphia sues seven banks over 'collusion' in municipal bond deals
Feb 21, 2019
Ex-broker stole $100,000 from client, Galvin says
Feb 21, 2019
Digital calendars can be an adviser's best tech tool
Feb 21, 2019
Again, SIFMA spent most money in financial services industry lobbying lawmakers
Feb 21, 2019
Fidelity profit hits record even as assets fall
Feb 21, 2019
Dynasty Financial's Procyon Partners recruits $420-million adviser
Feb 21, 2019
How to choose good tech, rather than costly and complex tech
Feb 21, 2019
Insurers create pain points for advisers and clients
Feb 21, 2019
Charles Schwab selling PortfolioCenter to Envestnet Tamarac
Feb 21, 2019
The race to zero fees may be reaching its natural limits
Feb 20, 2019
Ohio National extends variable annuity buyout offer
Feb 20, 2019
Mortgage ETF is one of the most popular this year
Feb 20, 2019
Democrats have a game plan for taxing the rich more
Feb 20, 2019
Wirehouse culture driving the move to independence
Feb 20, 2019
UBS ordered to pay more than $5.1 billion in French tax case
Feb 20, 2019
Look for more changes at Cetera Financial Group
Feb 20, 2019
UBS at risk after $5 billion surprise penalty
Feb 20, 2019
Fixed annuity sales smash previous record
Feb 20, 2019
Piper Jaffray executive joins Hilltop Securities as CEO
Feb 20, 2019
Delivering value starts with reducing fees
Feb 20, 2019
Franklin Templeton settles 401(k) lawsuit for $14 million
Feb 20, 2019
2019 is a key year for Social Security
Feb 20, 2019
Innovation Awards Educational Materials
Feb 19, 2019
Australian firm to join Focus Financial Partners
Feb 19, 2019
UBS eschews $6 billion settlement in French tax investigation
Feb 19, 2019
Mercer Advisors acquires $350 million Arbor Asset Management
Feb 19, 2019
The AMT is no longer a problem for many clients
Feb 19, 2019
Insurance groups tell NAIC to put 'best interest' back into annuity suitability rule draft
Feb 19, 2019
Dynasty Financial Partners moving headquarters to St. Pete, Fla.
Feb 19, 2019
Advisory fees push commissions further into the background
Feb 19, 2019
NAPFA launches campaign to distinguish fiduciary from 'best interest'
Feb 19, 2019
Ascensus sells 25 percent stake to private equity firm
Feb 19, 2019
LifeYield provides advisers a roadmap to optimize portfolio tax efficiency
Feb 19, 2019
Massachusetts fines United Planners $100,000 in real estate scam case
Feb 19, 2019
Robert Moore, Cetera CEO, stepping down for health reasons
Feb 19, 2019
Michael Kitces: The latest in financial adviser fintech — February 2019
Feb 19, 2019
Making a resolution (and a plan) that is built to last
Feb 16, 2019
10 millennials making their mark in Washington — and beyond
Feb 16, 2019
Be proactive addressing sexual harassment in the workplace
Feb 15, 2019
Allianz says investors pulled $35 billion in Q4
Feb 15, 2019
Record $5.2 billion given through Fidelity Charitable in 2018
Feb 15, 2019
Advisers defend active investment management on Capitol Hill
Feb 15, 2019
Rolling out robo-advisers has been challenging for early adopters
Feb 15, 2019
Cetera, other broker-dealers refuse to sign Ohio National contracts
Feb 15, 2019
Warburg Pincus among private equity managers interested in acquiring Kestra Financial
Feb 15, 2019
Investing legend Jeff Vinik gets a lukewarm reception
Feb 15, 2019
SoFi to broaden loan offerings and expand into stock trading
Feb 15, 2019
It's not a stock … it's not a bond
Feb 15, 2019
Life is brutish and short for new ETFs
Feb 15, 2019
Veteran adviser locks down a succession plan that lets him stay involved
Feb 14, 2019
Finra catches Kestra Financial overcharging customers
Feb 14, 2019
Ron Carson's firm sued by former client for $500,000
Feb 14, 2019
In-house 'universities' gain traction as the latest RIA perk
Feb 14, 2019
Former Merrill Lynch star broker Thomas Buck sentenced to 40 months in prison
Feb 14, 2019
Wealthfront introduces high-yield cash savings accounts
Feb 14, 2019
Finra bars ex-MML broker who sold $3.5 million of Woodbridge Ponzi
Feb 14, 2019
Memphis-based RIA managing $2.6 billion joins HighTower
Feb 14, 2019
Long Island hybrid managing $250 million switches to LPL from Royal Alliance
Feb 14, 2019
Financial advisers head to cash as stocks move up
Feb 14, 2019
Three-adviser team managing $730 million leaves UBS for Stifel
Feb 14, 2019
SEC's Reg BI strengthens investor protections
Feb 14, 2019
The only certainty is death, taxes, and muni advantages
Feb 13, 2019
Rubio wants to curb stock buybacks encouraged by 2017 tax law
Feb 13, 2019
Passive funds surpass active funds in large-cap sector
Feb 13, 2019
Bills would allow employers to help workers pay off student debt, tax-free
Feb 13, 2019
Blogger Josh Brown and Ritholtz firm to hold adviser conference
Feb 13, 2019
Charles Schwab gets most 401(k) claims dismissed
Feb 13, 2019
What millennials really want out of fintech
Feb 13, 2019
Convergence of retirement planning and employee benefits is here
Feb 13, 2019
Thinking about selling your firm? 5 ways to prepare
Feb 13, 2019
Q4 revenue strong at IBDs, online brokers despite market declines
Feb 13, 2019
Commonwealth Financial, MassMutual strike software deal
Feb 13, 2019
Cure for financial illiteracy? Teach them when they're young
Feb 13, 2019
InvestmentNews Expands Women Adviser Summit Series from Four to Six Cities in 2019
Feb 12, 2019
For Wells Fargo Advisors, finding new clients becoming difficult
Feb 12, 2019
Washington dysfunction will stir 'a lot of market volatility' this year
Feb 12, 2019
SEC commissioner Peirce wants to move ahead on advice reform quickly
Feb 12, 2019
Schwab, Fidelity expand commission-free ETF trading
Feb 12, 2019
Finra bars former Morgan Stanley rep who hid client gift
Feb 12, 2019
Wells Fargo rep managing $500 million in Denver joins firm's RIA channel
Feb 12, 2019
Ramped up tech spending has helped LPL recruit advisers
Feb 12, 2019
Christina Townsend of Pershing shares vision for RIA technology
Feb 12, 2019
Team managing $314 million leaves UBS for Ameriprise
Feb 11, 2019
Finra bars former Merrill Lynch rep over falsified daycare expenses
Feb 11, 2019
Morgan Stanley agrees to buy Solium Capital at 43% premium
Feb 11, 2019
SEC advice rule proposal assailed by former agency economists
Feb 11, 2019
Zero-fee ETFs are the elephant in the room at industry summit
Feb 11, 2019
Custody status continues to perplex RIAs
Feb 11, 2019
New CFP Board ads feature lesbian couple
Feb 11, 2019
Jackson National looks to expand distribution of fee-only annuities
Feb 11, 2019
WisdomTree said to have explored sale to JPMorgan Chase
Feb 11, 2019
The true cost of passive investing
Feb 11, 2019
Rules for claiming Social Security at 70
Feb 11, 2019
How continuing disruption drives sustained success
Feb 09, 2019
MeToo: Even in the financial advice industry, sexual harassment is a serious problem
Feb 09, 2019
Politicians must come together to improve financial security
Feb 08, 2019
TD won't compete with RIAs, execs say
Feb 08, 2019
Finra bars rep for scamming Fidelity on computer purchases
Feb 08, 2019
Legg Mason to close a quarter of its ETFs
Feb 08, 2019
UBS dinged by Virginia after broker recommended gold and precious metals securities
Feb 08, 2019
Stock pickers are excited as passive funds shed $16 billion
Feb 08, 2019
Wells Fargo outage has security professionals puzzled
Feb 08, 2019
Firms can't afford to ignore female clients
Feb 08, 2019
When evaluating technology, advisers increasingly focus on the client experience
Feb 08, 2019
Limited deduction rubs SALT into taxpayer wounds
Feb 08, 2019
IRS sends out fewer refund checks first week of tax season than last year
Feb 07, 2019
Latest tax proposal from Democrats targets Wall Street
Feb 07, 2019
Wells Fargo system outage takes website, app, ATMs offline
Feb 07, 2019
Finra sues broker who failed to report sexual conduct charge
Feb 07, 2019
Fidelity adds bond, multi-asset choices to model portfolios
Feb 07, 2019
Great-West Life taps Edmund Murphy to succeed Robert Reynolds as CEO
Feb 07, 2019
Trump 'open to talking about' revisions on SALT cap
Feb 07, 2019
Annuities group signs up for Rolling Stones tour
Feb 07, 2019
Don't be afraid to raise advisory firm fees
Feb 07, 2019
LPL adds new reporting tool to ClientWorks
Feb 07, 2019
Advisers with $393 million in AUA join Integrated Financial Partners
Feb 07, 2019
Maryland bill would impose fiduciary duty on brokers, insurance reps
Feb 06, 2019
Finra bars rep fired by Merrill Lynch over improper fund sales
Feb 06, 2019
Ron Carson to advisers: Tech is your friend and competitor
Feb 06, 2019
Hundreds of advisers with tens of billions in assets left Wall Street in 2018
Feb 06, 2019
Should CFP Board require technology training? Advisers seem to think so
Feb 06, 2019
Genworth diverts $327 million to shore up long-term-care insurance
Feb 06, 2019
Retirement savings bill re-introduced in House with bipartisan backing
Feb 06, 2019
Vanguard defends the value of active bond funds
Feb 05, 2019
Trump State of the Union: What advisers want to hear
Feb 05, 2019
Millennials turning to automated investing in response to market volatility
Feb 05, 2019
Finra exams to probe compliance with elder abuse rules
Feb 05, 2019
Communicating with clients in tough times
Feb 05, 2019
Were any required minimum distributions missed last year?
Feb 05, 2019
Will big recruiting bonuses move reps to these firms in 2019?
Feb 04, 2019
He marries math skills with the gift of gab
Feb 04, 2019
Finra panel awards schoolteachers $2.38 million in fraud case
Feb 04, 2019
Bill Gross retires after four-decade career in bonds
Feb 04, 2019
Voya Financial webpage glitch exposes Social Security numbers of reps
Feb 04, 2019
Why muni bond dealers welcome the tax-the-rich push
Feb 04, 2019
Don't wait too long to claim Social Security
Feb 04, 2019
Planning potholes and banana peels
Feb 04, 2019
Cetera new facial recognition technology to improve risk questionnaires
Feb 04, 2019
An update on the 4% rule
Feb 04, 2019
Cryptocurrency executive dies; takes access codes with him
Feb 04, 2019
2019 Icon: Sheryl Garrett
Feb 04, 2019
2019 Innovator: Heather Ettinger
Feb 04, 2019
2019 Innovator: Joseph Coughlin
Feb 04, 2019
2019 Innovator: Kunal Kapoor
Feb 04, 2019
2019 Innovator: Valerie Brown
Feb 04, 2019
2019 Innovator: Naureen Hassan
Feb 04, 2019
2019 Innovator: Eric Clarke
Feb 04, 2019
2019 Innovator: Fielding Miller
Feb 04, 2019
2019 Innovator: Rick Kahler
Feb 04, 2019
2019 Innovator: John Streur
Feb 04, 2019
2019 Innovator: Ted Jenkin
Feb 02, 2019
'Selling away' doesn't mean the B-D is not ultimately responsible
Feb 01, 2019
New diversity push at Edward Jones stirs up controversy
Feb 01, 2019
Hanson McClain acquires $235 million HBP Retirement
Feb 01, 2019
LPL reports record recruiting year
Feb 01, 2019
Hedge fund creates the ultimate tax-free IRA for employees
Feb 01, 2019
Should we treat the super-rich as our piggy bank?
Feb 01, 2019
Bond titan blasts 'misguided' bet that Fed hikes are over
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