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Site Map for April 2019
Date
Title
Apr 30, 2019
ETrade to add cryptocurrencies to platform
Apr 30, 2019
Indianapolis-based RIA managing $575 million affiliates with Ron Carson
Apr 30, 2019
Advisers need to be more personal on social media
Apr 30, 2019
Choppy stock market leads to fewer wirehouse reps fleeing the coop
Apr 30, 2019
Adviser involved in college admissions probe revealed as Oppenheimer rep
Apr 30, 2019
State regulators urge SEC not to try to block state fiduciary laws
Apr 30, 2019
Millionaires flee homelands as tensions rise, taxes bite
Apr 30, 2019
Finra panel awards $454,813 to lawyer who says Morgan Stanley mismanaged retirement fund
Apr 30, 2019
Why is basic financial literacy so elusive?
Apr 30, 2019
Congress should let innovation fuel lifetime income projections
Apr 30, 2019
Advisory firms' value is tied to the market's value
Apr 29, 2019
Adviser team managing $6 billion at Morgan Stanley creates RIA
Apr 29, 2019
Bob Doll says Fed likely will 'murder' economic growth
Apr 29, 2019
SEC charges San Diego-area adviser with $7 million Ponzi scheme
Apr 29, 2019
Morgan Stanley bear unbowed after bad call
Apr 29, 2019
Hot IPO market has some advisers seeing red
Apr 29, 2019
$1 trillion technology rally keeps on rolling
Apr 29, 2019
Why 401(k) advisers should stress-test client portfolios
Apr 29, 2019
HighTower invests in $4.8 billion California advice firm
Apr 27, 2019
MoneyGuide, eMoney battle for financial planning software crown
Apr 27, 2019
Criticism of Richard Thaler proposal must not prevent discussion
Apr 26, 2019
Adviser managing $166 million moves from UBS to Stifel
Apr 26, 2019
A near-record quarter for RIA acquisitions
Apr 26, 2019
Fintechs find new focus helping clients with cash management
Apr 26, 2019
Focus on taxes, compensation turns into tech-industry niche
Apr 26, 2019
Wells Fargo spends big on lobbying, as pressure from Capitol Hill mounts
Apr 26, 2019
American Funds, Empower forge partnership on 401(k) managed accounts
Apr 26, 2019
Ameriprise to open bank with up to $2.5 billion in client deposits
Apr 26, 2019
When to do a retirement-plan rollover, and when to avoid it
Apr 25, 2019
Finra orders New Jersey broker-dealer to pay $205,000 over excessive trading
Apr 25, 2019
UBS says wealthy clients add $22 billion in Q1
Apr 25, 2019
UBS loses 166 advisers in its Americas unit over the past year
Apr 25, 2019
Muni funds land a year's worth of cash in four months
Apr 25, 2019
Finra reveals how it spent $61 million in fine money last year
Apr 25, 2019
Raymond James adds advisers in first quarter, but warns of possible slowdown
Apr 25, 2019
Startup offers financing for employee stock purchase plans
Apr 25, 2019
FWM to acquire Optima Fund Management
Apr 25, 2019
Cost of passive ESG investments falling
Apr 25, 2019
Robo researcher claims SoFi trades triggered capital gains tax hit
Apr 25, 2019
Pilot killed in plane crash was Raymond James adviser
Apr 25, 2019
What you can learn about social media when you never stop learning
Apr 24, 2019
Six advisers managing $200 million switch from Cambridge to a Securities America OSJ
Apr 24, 2019
Morgan Stanley shakes up wealth unit
Apr 24, 2019
Finra censures Voya over sales of front-end load funds
Apr 24, 2019
Fidelity boosts technology integration for advisers
Apr 24, 2019
Merrill team managing $250 million moves to Stifel
Apr 24, 2019
Finra launches office to focus on fintech
Apr 24, 2019
Finra suspends former star LPL rep who borrowed client cash
Apr 24, 2019
Insurance lobby plans blitz to get retirement bills through Congress quickly
Apr 24, 2019
American Funds veteran sees bright future for defensive active management
Apr 24, 2019
Next-gen portfolio management tool from Schwab is now live
Apr 24, 2019
TD Ameritrade cut marketing because 'fish weren't biting,' CEO says
Apr 24, 2019
Former adviser testified he gave college football players money to win business later
Apr 24, 2019
2019 top independent broker-dealers ranked by revenue
Apr 23, 2019
Franklin plans to cut up to 5% of workforce
Apr 23, 2019
Centerbridge said to be in talks to buy Advisor Group
Apr 23, 2019
Higher tax bills following reform surprise clients
Apr 23, 2019
Merrill Lynch team managing $400 million moves to Raymond James
Apr 23, 2019
Wells Fargo annual meeting besieged by hecklers
Apr 23, 2019
Fidelity sales tactics called out in settlement of retirement plan lawsuit
Apr 23, 2019
Find your Fosbury Flop: Innovating on the fundamentals
Apr 22, 2019
Older Americans are twice as likely to work now as in 1985
Apr 22, 2019
Warren proposes canceling student debt for millions
Apr 22, 2019
Wells Fargo annual meeting 'less relevant' amid bank's CEO search
Apr 22, 2019
Social Security funding outlook improves slightly
Apr 22, 2019
Finra panel awards $815,000 to National Asset Management client over fiduciary breach
Apr 22, 2019
Five fintech buzzwords that need to die
Apr 22, 2019
The drawback of Richard Thaler's 401(k)-Social Security idea? Social Security itself
Apr 22, 2019
A new way to look at retirement income planning
Apr 20, 2019
IBD report: Another impressive year
Apr 20, 2019
Finra reminds brokerages of a client's right to a straight answer
Apr 19, 2019
Smart money is pouring into fixed income
Apr 19, 2019
Consider diversity when it comes to mergers and acquisitions
Apr 19, 2019
What advisers need to know to serve professional athletes
Apr 19, 2019
When disclosing conflicts of interest, wiggle words like 'may' may not be good enough
Apr 19, 2019
Variable annuity sales up big among independent broker-dealers
Apr 18, 2019
Trump's rules for opportunity zones satisfy investors' wish lists
Apr 18, 2019
SEC cracks down on share-class disclosure after self-reporting initiative ends
Apr 18, 2019
Vanguard sees nearly half of all fund inflows in first quarter
Apr 18, 2019
Mariner to acquire $1.3 billion RIA in Florida
Apr 18, 2019
Richard Thaler wants to use 401(k)s to boost Social Security payments
Apr 18, 2019
Adviser fintech moving from the back office to client interactions
Apr 18, 2019
Grown children may be hazardous to your wealth
Apr 18, 2019
Michael Kitces: The latest in financial adviser fintech — April 2019
Apr 17, 2019
New ETF offers a way to bet on credit volatility
Apr 17, 2019
Adviser managing $200 million at SunTrust moves to Raymond James
Apr 17, 2019
Finra bars former Aegis broker for churning
Apr 17, 2019
Massachusetts charges adviser with concealing information in marijuana deals
Apr 17, 2019
SEC's sole Democrat is said to be leaving
Apr 17, 2019
Morgan Stanley rides wealth management train to solid first quarter
Apr 17, 2019
5 pillars of marketing for advisers
Apr 17, 2019
InvestmentNews announces 2019 Innovation Awards winners
Apr 17, 2019
Financial advisers at risk if they don't consistently innovate
Apr 16, 2019
BlackRock rebounds as clients move from cash to fixed income
Apr 16, 2019
FPA backs away from controversial plan to merge chapters
Apr 16, 2019
For Merrill Lynch, emphasis on new clients and cross-selling paying off
Apr 16, 2019
Fate of New Jersey fiduciary standard could come down to politics, court
Apr 16, 2019
Investigation into LPL broker's eBay business leads to bar
Apr 16, 2019
Thirst for diversification leads more advisers to interval funds
Apr 16, 2019
'Retire in place' doesn't cut it as a succession plan
Apr 16, 2019
3 ways to improve adviser technology
Apr 15, 2019
Rep barred for lying about variable annuity sales practices
Apr 15, 2019
Most Americans got a tax cut and didn't notice
Apr 15, 2019
New Jersey releases rule to impose fiduciary duty on brokers
Apr 15, 2019
Product chief at Morningstar talks adviser technology and the holy grail of financial advice
Apr 15, 2019
Trump administration puts potential new hurdle in path of Regulation Best Interest
Apr 15, 2019
RIA succession plan takes the long view
Apr 15, 2019
Texas adviser managing $341.5 million becomes RIA
Apr 15, 2019
The cost of putting off enrolling in a Medicare drug plan
Apr 15, 2019
$4 trillion rally in S&P 500 has buyers flooding world's largest ETF
Apr 15, 2019
401(k) advisers are battling on multiple fronts
Apr 15, 2019
Dynamic philanthropic environment expected through 2020
Apr 13, 2019
Sales of unregistered securities are a growing problem that's harming investors — and the industry
Apr 13, 2019
Help parents plan early, realistically around their kids' college costs
Apr 12, 2019
Woodbridge Group execs charged with criminal fraud in Ponzi scheme
Apr 12, 2019
There are big benefits to investing in family-controlled businesses
Apr 12, 2019
A digital twist on investing in rare collectibles
Apr 12, 2019
Creativity matters when planning for lone retirees
Apr 12, 2019
6 big takeaways from Larry Fink's letter to shareholders
Apr 12, 2019
Tax Cuts and Jobs Act takeaways
Apr 12, 2019
Two women arrested for defrauding elderly California woman
Apr 12, 2019
Rising rich boost stature, growth of family offices
Apr 12, 2019
SEC cracks down on ETF names that could be misleading
Apr 12, 2019
Fidelity wants to own the workplace — and beyond
Apr 12, 2019
Headcount at Wells Fargo Advisors continues to slide
Apr 12, 2019
62% of firms plan to adopt new client-facing technology this year
Apr 12, 2019
Who benefits the most from non-transparent ETFs?
Apr 12, 2019
How behavioral technology will improve retirement planning
Apr 12, 2019
RIAs needn't fear the large custodians
Apr 11, 2019
Finra guidance could help departing reps hang onto clients
Apr 11, 2019
Principal-Wells Fargo retirement deal hints at fee compression
Apr 11, 2019
SEC bars former Ohio rep imprisoned for fraud, theft
Apr 11, 2019
After losing billions in assets, giant hybrid RIA set to open broker-dealer
Apr 11, 2019
Betterment adds Dimensional Fund Advisors to its adviser robo
Apr 11, 2019
Rich women increasingly call the shots, wealth heads say
Apr 11, 2019
CFP Board's women mentoring program falls short of some expectations
Apr 11, 2019
'Wall Street Tax Act' will land on Main Street investors
Apr 11, 2019
You won't believe how some advisers are hedging market risk
Apr 10, 2019
Three Wells Fargo reps managing $240 million go indie with Raymond James
Apr 10, 2019
Few rush to invest in opportunity zones
Apr 10, 2019
401(k) lawsuit over Vanguard fees ends with $23.7 million settlement
Apr 10, 2019
Thinking beyond $1 billion
Apr 10, 2019
Will Merrill Lynch plan to add fresh advisers to offices be a boon — or a bust?
Apr 10, 2019
Employers can assure retirement for $2.64 an hour
Apr 09, 2019
What a man can learn by attending a women's financial conference
Apr 09, 2019
BlackRock wages secret fee war for junk-debt ETF investors
Apr 09, 2019
Principal to buy Wells Fargo retirement unit for $1.2 billion
Apr 09, 2019
Cetera to acquire assets of Foresters Financial's U.S. advisory business
Apr 09, 2019
Clayton wants retirement investors to have more access to private funds
Apr 09, 2019
ETF that doesn't reveal its assets poised to get SEC OK
Apr 09, 2019
How can advisers continue to differentiate in an increasingly digital world?
Apr 09, 2019
Envestnet adds loan facility to platform
Apr 09, 2019
5 things clients learned about Roth conversions this tax season
Apr 09, 2019
Embrace technology, but beware of becoming obsessed with it
Apr 08, 2019
Customized advice coming to households near you
Apr 08, 2019
Financial advice increasingly technology-enhanced
Apr 08, 2019
Buffett urges Wells Fargo to look beyond Wall Street for CEO
Apr 08, 2019
Finra bars former LPL broker over possible loans from clients
Apr 08, 2019
Congress, states poised to upend retirement policy
Apr 08, 2019
SEC member Robert Jackson Jr. calls for 'bipartisan' Regulation Best Interest
Apr 08, 2019
Another 401(k) plan sues Fidelity over 'kickbacks'
Apr 08, 2019
FAANGs' $800 billion rally has retail investors calling it quits
Apr 08, 2019
Hiring young advisers: You can't start too early
Apr 08, 2019
Commonwealth case against Ohio National should be arbitrated, court rules
Apr 08, 2019
401(k) advisers may be this type of fiduciary — and not know it
Apr 08, 2019
How important is financing for selling advisers? Very
Apr 08, 2019
Consider the alternative
Apr 08, 2019
A disruptive force no one is talking about ...
Apr 06, 2019
College costs can sink parents, too
Apr 06, 2019
Washington wants to ease student loan burden
Apr 06, 2019
Want to keep good employees? Know what they value most from their firm
Apr 05, 2019
Finra fines former LPL rep $5,000 over viatical sale
Apr 05, 2019
UBS develops new wealth management app for iPads
Apr 05, 2019
Stifel adds wirehouse teams managing $1.1 billion in assets
Apr 05, 2019
Indexed annuity sales projected to grow nearly 40% by 2023
Apr 05, 2019
Factor investing gets a reboot as ebbing demand bites at ETFs
Apr 05, 2019
Arming clients with the tools to teach kids about finances
Apr 05, 2019
When Envestnet and Apple pivoted
Apr 04, 2019
'Advice' is changing due to client awareness of fees
Apr 04, 2019
Galvin wants investment advisers to lay out fees for clients
Apr 04, 2019
Morningstar improving bond fund data reporting
Apr 04, 2019
Kestra loses $11 billion retirement group to LPL
Apr 04, 2019
Air Force veteran-turned-adviser clashes with First Command
Apr 04, 2019
RIAs see new competition from Schwab subscription pricing
Apr 03, 2019
F.L. Putnam acquires Financial Focus and $275 million in AUM
Apr 03, 2019
No CEO and no plan in sight for Wells Fargo
Apr 03, 2019
Active managers stumble in March after hot start to 2019
Apr 03, 2019
UBS considers sale, acquisition and other options for its asset management business
Apr 03, 2019
Marsh & McLennan acquires Centurion, a $16 billion retirement group
Apr 03, 2019
New SEC nominee may not have time to influence Reg BI
Apr 03, 2019
Alternative strategies earn their keep over six months of market extremes
Apr 03, 2019
Top Democrat proposes revival of plan to eliminate capital gains loopholes
Apr 03, 2019
Looking beyond the S&P 500: Time to refresh portfolios, benchmarks
Apr 03, 2019
Maryland fiduciary bill killed in committee
Apr 02, 2019
Captrust acquires $13 billion in AUA through FiduciaryVest spin out
Apr 02, 2019
United Capital adds $800 million in AUM through two acquisitions
Apr 02, 2019
Cerity Partners buys Blue Prairie Group to create $21 billion advisory firm
Apr 02, 2019
Fidelity says retirees can expect to spend $285,000 on health care
Apr 02, 2019
Illinois governor pushes to replace flat tax
Apr 02, 2019
California wins auto-IRA lawsuit
Apr 02, 2019
House committee unanimously approves sweeping retirement bill
Apr 02, 2019
How mid-cap growth funds owned the first quarter
Apr 02, 2019
Hybrid firm managing $390 million switches from Foresters to LPL
Apr 02, 2019
Fintech has opportunity to hire diverse workforce
Apr 02, 2019
NASAA president calls on Congress to prevent advisers, brokers from putting their interests ahead of clients'
Apr 02, 2019
Is volatility coming?
Apr 02, 2019
What's keeping advisers from using investment model marketplaces?
Apr 02, 2019
Top reasons to file a tax extension
Apr 02, 2019
To thrive, do what you love
Apr 01, 2019
New annuities starting to address RMDs
Apr 01, 2019
Socially responsible investments reach $30.7 trillion
Apr 01, 2019
Regulators assure industry CAT will not expose consumer data
Apr 01, 2019
Demand for growth stocks produces record inflows for ETF
Apr 01, 2019
Three crucial compliance requirements to satisfy right now
Apr 01, 2019
The hedger's opportunity
Apr 01, 2019
Best Places to Work for Financial Advisers: The research and the data
Apr 01, 2019
Beacon Pointe acquires Heller Wealth Advisers and $390 million in AUM
Apr 01, 2019
Former Merrill Lynch banker fined $10,000 over doctored expenses
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