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Site Map for March 2019
Date
Title
Mar 30, 2019
The need for a successor can sneak up on you, so plan ahead
Mar 29, 2019
Longest-running 401(k) fee lawsuit ends in $55 million settlement
Mar 29, 2019
Wells Fargo shakeup receives mixed reaction from Wall Street
Mar 29, 2019
Seattle-area adviser pleads guilty to defrauding investors of $3 million
Mar 29, 2019
Schwab moving to subscription fees could be watershed moment for advice industry
Mar 29, 2019
Steward Partners adds two advisers, $212 million in assets
Mar 29, 2019
401(k) adviser fees for small plans buck compression trend
Mar 29, 2019
When living on a half-million dollars a year seems hard
Mar 29, 2019
Is your office space keeping up with the times?
Mar 28, 2019
JPMorgan reportedly cutting hundreds of jobs in asset, wealth unit
Mar 28, 2019
Female bankers take lead as financial companies target China's wealthiest
Mar 28, 2019
Wells Fargo CEO Tim Sloan steps down
Mar 28, 2019
Some mutual fund investors might unwittingly already own shares of Lyft
Mar 28, 2019
Citi wealth management launches digital financial planning
Mar 28, 2019
Schwab wants investing to be subscription-based
Mar 28, 2019
SEC charges RIA firm's former COO with overbilling clients and inflating salary
Mar 28, 2019
A tech transition gone wrong
Mar 28, 2019
The future of advice is hiding in plain sight
Mar 28, 2019
Latest price-war salvo pegs fees to low-risk performance
Mar 27, 2019
Regional firms provide an alternative to wirehouses
Mar 27, 2019
SigFig launches platform to help retail banks sell financial products
Mar 27, 2019
Supreme Court backs SEC, rules against investment banker
Mar 27, 2019
Vanguard poised to top BlackRock in first-quarter U.S. ETF flows
Mar 27, 2019
Half of Americans approaching retirement have nothing saved
Mar 27, 2019
Social media has changed, but here's one thing that never will
Mar 27, 2019
Advisers can increase business while boosting financial literacy
Mar 27, 2019
'Whopper' UBS broker sentenced to prison for Puerto Rico bond fraud
Mar 27, 2019
Democrats back legislation to require investor-testing of SEC advice rule
Mar 27, 2019
3 lessons advisers can learn from the Midwest flooding
Mar 27, 2019
Why the 4% rule may be irrelevant
Mar 27, 2019
How to handle a client with low risk tolerance
Mar 26, 2019
Bronfman Rothschild acquisition creates $10 billion RIA
Mar 26, 2019
Clayton says disclosure sufficiently mitigates some conflicts under Reg BI
Mar 26, 2019
Apple wades deeper into financial services territory
Mar 26, 2019
Jackson National loses top annuity sales spot to AIG
Mar 26, 2019
Fiduciary duty and the choice between active and passive
Mar 26, 2019
What 401(k) record-keeper consolidation means to retirement plan advisers
Mar 26, 2019
Bots are forging the next generation of index funds
Mar 26, 2019
Update on Social Security reform
Mar 25, 2019
Fidelity creates workplace charitable-giving program
Mar 25, 2019
Wells Fargo taps company veteran as interim head of wealth management
Mar 25, 2019
InvestmentNews parent Bonhill Group to acquire Last Word Media
Mar 25, 2019
Client onboarding presents a critical first impression
Mar 25, 2019
Merrill adds to 401(k) fiduciary services
Mar 25, 2019
Robert Cook says Finra doesn't levy fines to balance budget
Mar 25, 2019
Beware misreading inverted yield curve
Mar 25, 2019
InvestmentNews to Host a Two-Day Event Focused on Impact Investing at the United Nations
Mar 23, 2019
Merger mania: Why consolidation in the RIA space is about to explode
Mar 23, 2019
Levering tech for financial wellness
Mar 23, 2019
Technology is essential component of growth
Mar 23, 2019
BlackRock pivoting to technology could serve as blueprint for other asset managers
Mar 23, 2019
Don't write off ESG investments out of habit — the demand is real
Mar 23, 2019
Blockchain will upend the 401(k) market
Mar 23, 2019
Cybersecurity poses strain between plan sponsors, record keepers
Mar 22, 2019
SEC lifts hiring freeze, lowers pay raises
Mar 22, 2019
BlackRock invests in pot stock
Mar 22, 2019
Merrill Lynch settles with SEC over ADR trading abuses
Mar 22, 2019
Hybrid managing $459 million switches to Securities America from Ameriprise
Mar 22, 2019
Top performing advice firms have a distinctive focus on technology
Mar 22, 2019
Has the quarterly client newsletter become old news?
Mar 22, 2019
Warren, Brown ask regulators to oust Wells Fargo CEO Sloan
Mar 22, 2019
Voya Financial Advisors exposes more sensitive adviser information on its website
Mar 22, 2019
Treasury cuts penalties for taxpayers confused about withholding
Mar 22, 2019
Big data: seeing investments in an entirely new way
Mar 21, 2019
Finra budget to keep fees steady in 2019
Mar 21, 2019
401(k) managed accounts becoming more diverse
Mar 21, 2019
5 tips for people who don't have the money to pay their tax bill
Mar 21, 2019
Wells Fargo hits more bumps as it tries to move past scandals
Mar 21, 2019
Securities America hit with lawsuit seeking $18 million in damages
Mar 21, 2019
Adviser managing $230 million at Merrill Lynch moves to Alex. Brown
Mar 21, 2019
Brian Block continues his legal fight to stay out of prison
Mar 21, 2019
Cybersecurity concerns over messaging apps grow as more firms enable adviser texting
Mar 21, 2019
Staying active in a year of volatility
Mar 21, 2019
The U.S. retirement system is far too complex
Mar 20, 2019
Ameriprise offloads $1.7 billion in fixed annuities
Mar 20, 2019
As cash-back ETF hits funds market, signs of trouble appear
Mar 20, 2019
Giving advisers ESG insight so they can grow
Mar 20, 2019
Wells Fargo could be putting more of its focus on wealth management
Mar 20, 2019
Advisers charged with 'gambling away' millions from clients
Mar 20, 2019
Carolyn McClanahan talks aging, prostates and going out of business
Mar 20, 2019
Meet our new retirement columnist
Mar 19, 2019
Saudi Arabia global ranking boosted by ETFs in US, UK
Mar 19, 2019
Goldman to buy S&P portfolio unit to boost ETF sales
Mar 19, 2019
Captrust acquires two firms and $2.9 billion in AUM
Mar 19, 2019
Janney acquires FIG Partners of Atlanta
Mar 19, 2019
Blucora to buy another broker-dealer with tax-focused advisers
Mar 19, 2019
Say goodbye to technologies that don't spark joy
Mar 19, 2019
Fidelity sued again for 'illegal' 401(k) fees
Mar 19, 2019
Cresset Asset Management acquires $500 million RIA
Mar 19, 2019
Growth is a must, but watch out for the trap
Mar 19, 2019
401(k) record keepers competing with advisers on financial wellness
Mar 19, 2019
Succession plan success story
Mar 19, 2019
5 building blocks to becoming a successful buyer
Mar 19, 2019
Starting a new advisory firm: Selecting technology
Mar 19, 2019
Choosing between a retroactive lump sum and a bigger monthly Social Security benefit
Mar 18, 2019
Florida RIA managing $1 billion joins The Colony Group
Mar 18, 2019
Team managing $235 million switches from Horner Townsend to Kestra
Mar 18, 2019
FPA butts heads with Michael Kitces over $8 million in 'missing' funds
Mar 18, 2019
Former JPMorgan adviser starts $250 million RIA
Mar 18, 2019
Principal-Wells Fargo retirement deal would be among largest ever
Mar 18, 2019
SEC fines and censures Talimco for manipulating real estate auction
Mar 18, 2019
SEC bars California adviser over $5.7 million fraud
Mar 18, 2019
Financial literacy could make advice more accessible to women of color
Mar 18, 2019
Finra panel dismisses $100 million case involving drop in Merrill Lynch stock
Mar 16, 2019
ESG options scarce in 401(k) plans
Mar 16, 2019
Regulatory amnesty opens advisers' eyes to past wrongs
Mar 16, 2019
When it comes to diversity and inclusion, strategies are better than intentions
Mar 16, 2019
529 plans also miss the boat when it comes to ESG
Mar 15, 2019
Broker team managing $200 million joins group linked to LPL
Mar 15, 2019
Wells Fargo adds low productivity to a long list of challenges
Mar 15, 2019
ESG funds have never been cheaper as Vanguard sets off fee war
Mar 15, 2019
LPL's record recruiting year came with a cost — signing bonuses skyrocketed in 2018
Mar 15, 2019
SEC promises revised advertising rule soon
Mar 15, 2019
Envestnet MoneyGuide deal will have a massive impact on the advice industry
Mar 15, 2019
Independent advisory firms plan to increase digital marketing budgets this year
Mar 15, 2019
The college admissions scandal and the unwarranted reputation of top-tier schools
Mar 15, 2019
Indexed universal life insurance sales continue hot streak
Mar 14, 2019
Morgan Stanley team managing $240 million leaves for Raymond James
Mar 14, 2019
Sweeping Ed Butowsky lawsuit takes on 'left-wing media bias'
Mar 14, 2019
Investment bank launches digital loan platform for advisers
Mar 14, 2019
Wells Fargo CEO Tim Sloan gets 5.7 percent pay boost, $2 million bonus
Mar 14, 2019
Wedbush to pay $250,000 penalty to settle SEC charges
Mar 14, 2019
Genworth move could signal big shift in distribution of long-term-care insurance
Mar 14, 2019
House Democrats call on SEC to strengthen Regulation Best Interest
Mar 14, 2019
Ameriprise getting ready to launch its bank
Mar 14, 2019
10 funds with the largest holdings of Boeing
Mar 14, 2019
Women to Watch: Karen Schaeffer, Rachel Moran honored at fourth annual luncheon
Mar 14, 2019
Envestnet acquires MoneyGuide for $500 million
Mar 14, 2019
Be sure your clients use nondeductible IRA contributions correctly
Mar 14, 2019
Wealth managers ignore 401(k) plans at their peril
Mar 13, 2019
Gundlach warns stocks don't always go up in the long run
Mar 13, 2019
Brookfield buys Oaktree to build an alternatives giant
Mar 13, 2019
First Republic snags another Wall Street veteran, this time from J.P. Morgan
Mar 13, 2019
Mortgage industry seeks to revive most hated loan in America
Mar 13, 2019
Brown University settles 403(b) lawsuit for $3.5 million
Mar 13, 2019
Morgan Stanley threatens to pull out of Nevada over state's fiduciary rule
Mar 13, 2019
Advisers see college admissions scandal as tip of the iceberg
Mar 13, 2019
Finra set to propose new rules targeting rogue brokerages
Mar 13, 2019
Clients don't trust you? Here's a perfect product to pitch
Mar 13, 2019
How to achieve a client-centric practice
Mar 13, 2019
Opponents of Maryland fiduciary bill tell lawmakers to wait on SEC
Mar 12, 2019
Outlook for growth stocks debated
Mar 12, 2019
Super OSJ controlling $175 million in assets moves to Securities America
Mar 12, 2019
Morgan Stanley says market is overpricing Goldilocks scenario
Mar 12, 2019
ACLI comes off bench to support legislation requiring employers offer access to retirement plans
Mar 12, 2019
Capital gains increase at heart of Democrats' tax-the-rich plans
Mar 12, 2019
Debit card to add 'stock-back' rewards
Mar 12, 2019
Concerns about GPB Capital trash hauling business come to the fore
Mar 12, 2019
Wells Fargo CEO Tim Sloan draws bipartisan criticism at tough House hearing
Mar 12, 2019
Wells Fargo CEO disputes claim the bank is too big to manage
Mar 12, 2019
Former Pimco CEO charged in college admissions bribery scheme
Mar 12, 2019
Lipper plans ESG scoring system for mutual funds
Mar 12, 2019
Forget zero fees. This ETF is offering to pay investors
Mar 12, 2019
Starting a new advisory firm: How to outsource and structure your practice
Mar 11, 2019
Future of advice is wealth planning across the household
Mar 11, 2019
JPMorgan rolls out cheapest-ever stock ETF
Mar 11, 2019
Things to watch as Tim Sloan of Wells Fargo testifies before Congress
Mar 11, 2019
Wells Fargo Advisors sweetens the pot for both older and younger advisers
Mar 11, 2019
SEC says 79 firms will return $125 million to clients as part of clemency program
Mar 11, 2019
High-net-worth investors not impressed by mobile wealth management apps
Mar 11, 2019
SEC bars former broker for taking more than $1 million from client accounts
Mar 11, 2019
Boost your reputation with content marketing
Mar 11, 2019
Baseball, taxes and retirement destinations
Mar 09, 2019
Congress takes on 529s, targets student debt
Mar 09, 2019
529 plan costs: Advisers, broker-dealers brace for Finra crackdown
Mar 09, 2019
Advisers can — and must — help improve financial literacy in America
Mar 08, 2019
SALT stays: Limit on deduction for state and local taxes isn't going anywhere
Mar 08, 2019
Former adviser sentenced to two years for lying to clients, SEC
Mar 08, 2019
When clients work past 70, RMDs are still required — and begrudged
Mar 08, 2019
Ed Butowsky, Schwab head to arbitration over $100 million defamation claim
Mar 08, 2019
5 reasons you're not reading this cybersecurity article
Mar 08, 2019
Pairing 401(k) and student loan benefits gains more traction
Mar 08, 2019
Advisers can beat out firms like Fidelity with this marketing approach
Mar 07, 2019
Merrill Lynch cross-selling hits the market
Mar 07, 2019
2019 Lipper Awards: Faith-based fund takes a starring role
Mar 07, 2019
Vanguard plans its first actively managed ESG fund
Mar 07, 2019
State securities regulators back Nevada's fiduciary rule proposal
Mar 07, 2019
Arizona credit union's $638 million retail unit switches to Raymond James
Mar 07, 2019
Mercer Advisors acquires $240 million Confluence Financial Advisors
Mar 07, 2019
GE expects $1.7 billion in rate increases for long-term care policies
Mar 07, 2019
Michael Kitces: The latest in financial adviser fintech — March 2019
Mar 07, 2019
The 401(k) 'stretch' match may work in reverse
Mar 07, 2019
Interactive list of 2019 Lipper fund award winners
Mar 06, 2019
UBS escalates its pursuit of rich Americans with staff promotions
Mar 06, 2019
Millennial women take back seat when it comes to their own finances, UBS survey says
Mar 06, 2019
House Democrats question whether investors are protected under Regulation Best Interest
Mar 06, 2019
U.S. agencies revisiting restrictions on bonus payments
Mar 06, 2019
10 things to know about TDFs
Mar 06, 2019
Future retirees ponder Social Security strategies
Mar 06, 2019
Scrutiny of stock buybacks intensifies as Democrat threatens bill
Mar 06, 2019
Finra extends deadline for brokerages to self-report costly 529 plans
Mar 06, 2019
Risk-averse investors push advisers to their creative limits
Mar 06, 2019
100% required minimum distributions
Mar 06, 2019
Your Next-Gen Advisor's Road to Success Starts Long Before Day One
Mar 05, 2019
SEC wins churning case against 'cockroaching' broker
Mar 05, 2019
Main Street investors venture to go where Wall Street dares not
Mar 05, 2019
Wall Street levy gains steam among Democrats
Mar 05, 2019
Robert J. Moore bids farewell to the advice industry as he steps down as Cetera CEO
Mar 05, 2019
Financial advisers take issue with Democratic plans to tax the rich
Mar 05, 2019
Taxes, investment returns and the new Form 1040
Mar 05, 2019
NASAA distances itself from state fiduciary efforts, wants Reg BI to succeed
Mar 05, 2019
BB&T Securities reaches $5.7 million settlement with SEC for deceiving clients
Mar 05, 2019
4 reasons 401(k) advisers should partner with a benefits broker
Mar 05, 2019
I started a firm in 1993. Here's how I'd build one in 2019
Mar 05, 2019
FSI's top advocacy priorities for 2019
Mar 05, 2019
Lessons for advisers from 401(k) lawsuits
Mar 04, 2019
Many wealthy jolted by unpleasant tax shock this season
Mar 04, 2019
Fidelity faces Galvin inquiry over fees charged for 401(k) plans
Mar 04, 2019
Team managing $381 million leaves Wells Fargo for Baird
Mar 04, 2019
Vanguard to end its small cash-management service
Mar 04, 2019
Bills would end mandatory arbitration in adviser, broker contracts
Mar 04, 2019
Finra disciplinary actions packed $107,000 average punch in 2018
Mar 04, 2019
Cetera Financial Group to offer fee-for-service business model
Mar 04, 2019
GPB Capital Holdings now focus of FBI investigation
Mar 04, 2019
Vanguard share of target-date fund market becoming 'obscene'
Mar 04, 2019
Making room for the next generation of advisers
Mar 04, 2019
Infusing your company with a disruptive mentality
Mar 02, 2019
Help older clients facing a layoff realize their worth
Mar 02, 2019
Financial literacy: An epic fail in America
Mar 01, 2019
Vanguard using ETF portfolios to turn advisers into life coaches
Mar 01, 2019
Bill Gross explains why being an 'Asperger' made him a better investor
Mar 01, 2019
Custodians no longer at the center of RIA technology hubs
Mar 01, 2019
Vanguard lowers fees on some ETFs
Mar 01, 2019
As donor-advised funds grow in popularity, they may draw more scrutiny
Mar 01, 2019
Instagram: A guide for financial advisers
Mar 01, 2019
Adviser trade associations, investor advocates split on Nevada's authority to implement fiduciary rule
Mar 01, 2019
Morningstar brings Pimco flagship fund down down a peg
Mar 01, 2019
One of Wall Street's most popular trading strategies is failing
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