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Site Map for May 2019
Date
Title
May 31, 2019
New W-4 form aims to prevent tax refund surprises
May 31, 2019
Finra suspends ex-Morgan Stanley broker who made hundreds of CD trades for elderly client
May 31, 2019
Team managing $571 million at Merrill Lynch moves to Stifel
May 31, 2019
Financial firms need to standardize data so fintechs can build next-generation software
May 31, 2019
One adviser from UBS and two from Merrill Lynch move to Raymond James
May 31, 2019
What the new DOL fiduciary rule will probably look like
May 31, 2019
Personal compliance: Your social media needs to pass this important test
May 31, 2019
Senate tries to put SECURE retirement bill on fast track
May 31, 2019
Retirement plan provider sticks with embattled celeb Tony Robbins
May 30, 2019
Jeopardy champion James Holzhauer squares off against aspiring financial planner. Guess what happened?
May 30, 2019
Some insurance agents breaking law with 401(k) rollovers
May 30, 2019
The robo-advice market is growing, but changing
May 30, 2019
JPMorgan Chase to pay $5 million in parental-leave discrimination claim
May 30, 2019
Retirement bill would allow tax-free financial planning
May 30, 2019
Overcoming reservations about converting to investment models
May 30, 2019
LPL cuts ticket charge for some ETFs on key RIA platforms
May 30, 2019
Tony Robbins split was in the works for months, RIA now says
May 30, 2019
Dynasty Financial boosts M&A tools for RIAs using its platform
May 30, 2019
Is Roth participation in DC plans being suppressed by record keepers?
May 29, 2019
Overlooked fund category is dominating 2019
May 29, 2019
Study: Fees down, quality up in 529 plans
May 29, 2019
Rene Nourse says mentoring is the key to diversity
May 29, 2019
Bob Oros opens up about HighTower's aggressive growth strategy
May 29, 2019
Selling your firm, even if you've never thought about it
May 28, 2019
Sometimes a sale is the best succession plan
May 28, 2019
Wealthfront has courted controversy with risk-parity fund
May 28, 2019
JPMorgan's Dimon criticizes Wells Fargo CEO transition
May 28, 2019
Mohamed El-Erian named president of Queens' College at Cambridge University
May 28, 2019
SEC busts RIA for padding advisory fees by 40%
May 28, 2019
Redtail isn't the only firm with cybersecurity issues
May 28, 2019
Are China trade tensions a concern among your clients?
May 28, 2019
Finra bars former Commonwealth rep for non-cooperation
May 28, 2019
How to replicate a stretch IRA
May 28, 2019
SEC to tackle thorny topic: How much advice brokers can give without being an adviser
May 28, 2019
Winning in a crowded field
May 28, 2019
What to do when your marketing campaign isn't really a campaign
May 25, 2019
Factor investing another step in the evolution of the adviser's role
May 25, 2019
How to battle sequence-of-returns risk
May 24, 2019
SEC, NASAA and Finra issue Senior Safe Act fact sheet
May 24, 2019
Tony Robbins loses role with RIA amid charges of sexual misconduct
May 24, 2019
Legg Mason cuts 12% of staff in revamp as investor Peltz joins board
May 24, 2019
Reverse mortgage lenders pivot as sales falter
May 24, 2019
Redtail response to investor data leak may have broken state laws
May 24, 2019
Michael Kitces: The latest in financial adviser fintech — May 2019
May 24, 2019
Robinhood is set to raise at least $200 million in new funding
May 23, 2019
DOL sets date to propose new fiduciary rule
May 23, 2019
Team managing $100 million at Merrill Lynch goes indie with LPL
May 23, 2019
SEC files amended complaint in Woodbridge Ponzi scheme case
May 23, 2019
Morgan Stanley team managing $520 million goes indie with Raymond James
May 23, 2019
Auditor: Future of broker-dealer with history of problems is in doubt
May 23, 2019
House passes SECURE retirement bill with massive bipartisan support
May 23, 2019
Trade-war threat presents opportunities for energy investments
May 23, 2019
Attempt to ban SALT weakened by strong data
May 23, 2019
SEC sets June 5 date for vote on Regulation Best Interest
May 23, 2019
Dealing with widows requires empathy and patience
May 22, 2019
SEC bars four 'advisers' for selling unregistered Woodbridge securities
May 22, 2019
5 CRM functions advisers ignore at their peril
May 22, 2019
Hybrid managing $275 million switches to Triad Advisors
May 22, 2019
LPL expanding platform to include employee brokers
May 22, 2019
4 top surprises from the new tax law
May 22, 2019
How one adviser is getting ahead of the hot IPO market
May 22, 2019
CITs are changing the retail 401(k) world
May 21, 2019
Wells Fargo team managing $600 million moves to Raymond James
May 21, 2019
Redtail CRM data breach exposes personal client data
May 21, 2019
SALT apocalypse predictions have not come true
May 21, 2019
Five advisers managing $480 million leave Wells Fargo for Stifel
May 21, 2019
Greg Fleming, Rockefeller Capital spending big on recruits
May 21, 2019
Dakota Wealth Management to acquire Springside Partners
May 21, 2019
State regulators release model cybersecurity rule
May 21, 2019
Variable annuities lose more ground to fixed annuities
May 21, 2019
Calm in the storm: How advisers can combat emotional investing
May 21, 2019
Hopes high for bill to ease small-firm adviser regulations
May 21, 2019
Why our firm hired a data geek instead of another financial adviser
May 20, 2019
Finra bars former TD Ameritrade broker over expenses inquiry
May 20, 2019
RIA launches its own direct-to-consumer planning and robo-advice technology
May 20, 2019
Couple in Morgan Stanley advisory account wins $519,000 arb case over unsuitable investments
May 20, 2019
Finra bars former LPL rep over no-show at hearing
May 20, 2019
This strategy can double your estate-tax exemption
May 20, 2019
New tax rules raise the cost for most kids — but not all
May 20, 2019
How ETF investors are playing trade tensions
May 20, 2019
Advisers on the Move: Latest trends in recruiting
May 18, 2019
Benefits of cross-selling are too big for RPAs to ignore
May 18, 2019
RPAs seeking revenue streams
May 18, 2019
Fielding Miller talks recruiting, 401(k) evolution and fumbles
May 18, 2019
Diversity of thought, plus a culture of inclusion equals a prosperous future
May 18, 2019
The growth of factor-based investing
May 18, 2019
Why the RIA market is so dynamic right now
May 18, 2019
Consolidation alters RPA space
May 18, 2019
Are record keepers friend or foe to 401(k) advisers?
May 18, 2019
Financial crises require creative thinking, follow-through
May 18, 2019
What keeps these executives up at night?
May 18, 2019
10 largest RIA aggregators focused on defined-contribution plans
May 17, 2019
Brokerages sound off on Regulation Best Interest
May 17, 2019
Best clients put meaningful guidance and exceptional service at top of adviser must-haves
May 17, 2019
Ed Slott: How tax reform impacted popular IRA strategies
May 17, 2019
Finra makes its list to target hundreds of rogue individuals
May 17, 2019
Ladenburg looking at student loans, impact investing, health care for future fintech investments
May 16, 2019
Goldman Sachs acquires United Capital
May 16, 2019
Investors worldwide support ESG investing, but still want performance
May 16, 2019
Grim milestone for active management
May 16, 2019
LTC insurer offering co-pays to blunt soaring premium increases
May 16, 2019
Michael Kitces says traditional retirement investment strategy is wrong
May 16, 2019
Merrill Lynch duo managing $1 billion moves to Raymond James
May 16, 2019
Building a "fortress P&L" that can get firms through a market downturn
May 16, 2019
How Aspiriant's advisors help clients feel successful through giving
May 15, 2019
Uber IPO flop is coming to an ETF near you
May 15, 2019
Hybrid adviser managing $140 million switches affiliation from FSC to LPL
May 15, 2019
Millennials drawn to JPMorgan app offering free trades
May 15, 2019
5 tactics to improve client retirement readiness
May 15, 2019
Assigning a chief diversity officer doesn't fix an inclusion issue
May 15, 2019
The world is flat and some people like it that way
May 15, 2019
Fate worse than zero hits fund land
May 15, 2019
Finra rogue broker rule would affect 61 firms
May 15, 2019
Bob Oros of HighTower calls protocol exit 'form over substance'
May 14, 2019
Private equity loves IBDs, but will that last?
May 14, 2019
Capital Group, bastion of active management, rebounds to $1.9 trillion
May 14, 2019
Fidelity drops Goldman, brings securities lending in-house
May 14, 2019
What does a Goldman-owned United Capital mean for advisers?
May 14, 2019
Advisers need to reinvent how they deal with aging clients, says longevity expert
May 14, 2019
Finra wants to improve how it digitally interacts with member firms
May 14, 2019
New bill links 401(k) matches to student loan payments
May 14, 2019
Digital is the present and future of adviser marketing
May 14, 2019
Controlling your Google search results may not be enough
May 14, 2019
One retirement risk few people talk about
May 14, 2019
The burnout epidemic and what advisers can do to combat it
May 14, 2019
Finra proposal to restrict recidivist behavior a good start — but more needs to be done
May 13, 2019
Benjamin F. Edwards expands its recruiting net with a corporate RIA
May 13, 2019
You need $2.3 million to be considered wealthy in America
May 13, 2019
Bitcoin rises above $7,000, further fueling interest in cryptocurrency market
May 13, 2019
Morgan Stanley wealth management clients burned in Uber IPO
May 13, 2019
Cross-selling poised to be next 401(k) 'battleground' issue
May 13, 2019
Markets tumble as trade war escalates
May 13, 2019
Small-cap stocks bear the brunt of trade dispute
May 13, 2019
Four-adviser team managing $530 million at UBS goes independent
May 13, 2019
Kyle Weaver of Fidelity pursues deep value in secular themes
May 13, 2019
How much is enough compliance? SEC grumbles about firms' efforts to cover risks
May 13, 2019
Reg BI looks strong, if you squint just right
May 13, 2019
Financial firms must attract millennial advisers to serve new generation of clients
May 11, 2019
Finra plan to address unpaid arbitration award problem deserves fair hearing
May 11, 2019
Innovate or else: Advisers must leave the comfort zone before it's too late
May 11, 2019
Honoring innovation
May 10, 2019
Whistle-blower Ted Siedle sees pensions as hotbed for fraud
May 10, 2019
Finra bars former America Northcoast rep over unsuitable ETF trades
May 10, 2019
Carson Group advisers will soon be able to offer clients banking accounts
May 10, 2019
ETF investors see gyrating markets over next six months
May 10, 2019
Goldman Sachs said to be near deal to buy United Capital
May 09, 2019
Average Fidelity 401(k) balance increases sixfold over past decade to almost $300,000
May 09, 2019
Advisor Group expected to be sold for $2.3 billion
May 09, 2019
Only 13% of adult children would use parents' adviser: Cerulli
May 09, 2019
Money manager who stole $500 million serves a quarter of his 20-year prison term
May 09, 2019
California hybrid managing $200 million switches from Cetera to SA Stone
May 09, 2019
Finra arbitrators award Stanford victims $1.4 million, rule against Pershing
May 09, 2019
Actively managed TDFs are getting edged out
May 09, 2019
SEC, Finra warn investors not to base stock decisions on social sentiment
May 09, 2019
Focus Financial sees brisk activity in the M&A market for RIAs
May 09, 2019
ETFs threaten to 'amplify' systemic risk when liquidity dries up
May 09, 2019
'Death by Amazon' gauge exposes gulf between retail ETFs
May 09, 2019
Nobel laureate Richard Thaler accepts advisory role at Pimco
May 09, 2019
Softer side of wealth management will prevail in the future
May 09, 2019
Reverence Capital Partners buys Advisor Group
May 08, 2019
Fidelity launches fund focused on female leadership
May 08, 2019
Eaton Vance settles 401(k) lawsuit for $3.45 million
May 08, 2019
What could Envestnet buy next?
May 08, 2019
SEC commissioner Hester Peirce says Reg BI is stronger than fiduciary duty
May 08, 2019
Lisa Dolly steps down as Pershing CEO
May 08, 2019
Wirehouses are losing the war for client assets
May 08, 2019
Morgan Stanley advisers win huge $6.4 million deferred comp claim against Credit Suisse
May 08, 2019
What happens during the 60 days stays in the 60 days
May 08, 2019
What 401(k) advisers can learn from a viral social media post
May 08, 2019
Former broker wins $600,000 arb award for claims related to sale of business
May 08, 2019
Future retirees often overestimate Social Security benefits
May 08, 2019
How we invest in farmland: An introduction to Nuveen's global agricultural sustainability approach
May 07, 2019
Wealthy US investors sitting on cash despite optimism in economy
May 07, 2019
Investors start to sue broker-dealers that sold GPB private placements
May 07, 2019
Galvin charges Janney with churning high-fee mutual funds
May 07, 2019
Salesforce has new artificial intelligence tools for advisers
May 07, 2019
Mohamed El-Erian puts Democratic tax proposals in perspective
May 07, 2019
States approving bigger rate increases for long-term care policies
May 07, 2019
Merrill loses $450 million breakaway team
May 07, 2019
Raising the bar on happiness at work
May 07, 2019
Retirement investors win $1.8 million arbitration against Raymond James for penny-stock sales
May 07, 2019
401(k) adviser fees are upside down
May 06, 2019
Fidelity to start trading bitcoin
May 06, 2019
Maxine Waters puts bank chiefs in hot seat and gets results
May 06, 2019
HighTower taps three new executives for senior roles
May 06, 2019
Conflicting tax information creates 'nightmares' for some investors
May 06, 2019
Morningstar latest to launch investment model marketplace
May 06, 2019
LPL Financial opening its coffers for adviser acquisitions
May 06, 2019
Edward Jones doesn't sell indexed annuities, bucking broker-dealer trend
May 06, 2019
Trump could cost future retirees billions
May 06, 2019
Don't let these four data myths hold you back
May 06, 2019
Federal appeals court rules against advisers on disclosure failure
May 06, 2019
Hints about Social Security COLA and Medicare premiums in 2020
May 04, 2019
A new pay model: 300 advisers move, and the entire industry feels the shift
May 04, 2019
Finra tackles critical issue in assessing impact of innovation
May 04, 2019
Salary model exploited by rivals
May 03, 2019
As U.S. billionaires live longer, more wealth managers roll out estate and succession planning
May 03, 2019
LPL's recruiting starts the year where it left off in 2018
May 03, 2019
Q&A: BlackRock and Envestnet executives discuss partnership strategy
May 03, 2019
BlackRock takes lead in battle of lower-fee ETFs, but winning hurts
May 03, 2019
Learning from the 2019 innovators
May 03, 2019
The longest bull market in history can't shake the skeptics
May 03, 2019
How should advisers treat rollovers from 401(k)s to IRAs?
May 03, 2019
Building dialogue with lawmakers to advance women's careers
May 02, 2019
Cerity Partners acquires $500 million hybrid
May 02, 2019
Institutional investors want cryptocurrencies in their portfolios
May 02, 2019
Cresset acquires $500 million Cypress Wealth Advisors
May 02, 2019
Clayton hints Reg BI may be out earlier than expected
May 02, 2019
Second financial adviser identified as part of college admissions scandal
May 02, 2019
Finra fines AXA $600,000 over misclassified bond funds
May 02, 2019
Is time running out for advisers who sold GPB private placements?
May 02, 2019
Finra proposes rule to hit rogue firms in the pocketbook
May 02, 2019
Envestnet shows advisers how its purchases create integrated adviser ecosystem
May 02, 2019
Alexander Acosta is the Night King from 'Game of Thrones'
May 01, 2019
UBS adviser team managing $300 million goes indie with Raymond James
May 01, 2019
Envestnet launches tools to help improve adviser decisions
May 01, 2019
Finra bars former Cambridge rep over misuse of funds
May 01, 2019
Top RIAs view talent and technology as biggest challenges
May 01, 2019
Wells Fargo Advisors looks to cut red tape for advisers in reorganization
May 01, 2019
Acosta says Labor Department will revive fiduciary rule
May 01, 2019
Elderly investors win $3.2 million Finra arbitration award against AXA Advisors
May 01, 2019
Adviser duo managing $400 million exit Fieldpoint Private for Treasury Partners
May 01, 2019
Advisers put fundamentals ahead of sell-in-May warning
May 01, 2019
Asset managers preparing to launch nontransparent ETFs
May 01, 2019
Do you know how to calculate after-tax returns?
May 01, 2019
Widows, widowers and Social Security
May 01, 2019
Fixed income investing: the active advantage
May 01, 2019
4 ways to use digital tools to acquire clients
May 01, 2019
Small Broker-Dealers Enjoy Big Benefits as Branch Offices
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