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Site Map for July 2019
Date
Title
Jul 31, 2019
Flood of RIA sales pushes industry toward a buyer's market
Jul 31, 2019
Fed rate cut 'locked in' despite good economy
Jul 31, 2019
Morgan Stanley duo managing $252 million moves to Raymond James
Jul 31, 2019
Lightyear sells Wealth Enhancement Group to TA Associates
Jul 31, 2019
Acquisition consolidates players in retirement record keeping
Jul 31, 2019
Former Morgan Stanley broker fined $5,000 over client settlement
Jul 31, 2019
Dawn Bennett sentenced to 20 years in federal prison
Jul 31, 2019
Leveraged and inverse ETFs may be too risky to sell, says state regulator group
Jul 31, 2019
Median age of RIA firm principals now 49, down from 52
Jul 31, 2019
Super OSJ or small firm? What small and midsize practices should consider
Jul 31, 2019
CFP Board's effort to strengthen enforcement could sharpen teeth of fiduciary duty
Jul 30, 2019
Orion bringing HSA data to portfolio management dashboard
Jul 30, 2019
CFP Board checks certificants against Finra, SEC databases in wake of WSJ analysis
Jul 30, 2019
Capital One data hack puts financial advisers on high alert
Jul 30, 2019
Reducing the number of 401(k) record keeper partners poses a challenge for plan advisers
Jul 30, 2019
A crisis of confidence surrounds GPB Capital
Jul 29, 2019
Fidelity Charitable donors gave record $4 billion in first half of year
Jul 29, 2019
More US parents expect their children to help pay for college
Jul 29, 2019
New twist on private equity in RIA space: Silent minority ownership
Jul 29, 2019
DOL rule enables small businesses to offer retirement plans through trade associations
Jul 29, 2019
Morgan Stanley arms reps with ESG analysis tool
Jul 29, 2019
Citigroup Global Markets fined $1.25 million for screening failures
Jul 29, 2019
Two of the most widely-used adviser fintechs you've never heard of
Jul 29, 2019
SECURE Act could ruin your 401(k)
Jul 29, 2019
It's time to end 'rulemaking by enforcement'
Jul 29, 2019
CFP Board omits thousands of regulatory, criminal problems of its certificants on consumer site: WSJ
Jul 29, 2019
Winner-take-all phenomenon rules stock market, too
Jul 26, 2019
Finra bars former Fidelity broker for noncooperation with reimbursment investigation
Jul 26, 2019
Mom-and-pop investors tilt bearish despite all-time high stock prices
Jul 26, 2019
Insurgent candidate vies for large-firm seat on Finra board
Jul 26, 2019
Advisers view diversity efforts as a complex, heavy lift
Jul 26, 2019
GPB Capital accused of financial misconduct by business partner
Jul 26, 2019
IRS is tracking down 10,000 cryptocurrency owners who may have failed to pay taxes
Jul 25, 2019
RIA to buy $300 million fixed-income business
Jul 25, 2019
Advisory firm founder carries half his clients' fees into retirement
Jul 25, 2019
Pacific Life shutters ESG robo-adviser Swell Investing
Jul 25, 2019
Raymond James, Ameriprise add advisers in Q2, as two wirehouses shed them
Jul 25, 2019
Julia Wellborn named head of Wells Fargo private wealth management division
Jul 25, 2019
Charles Schwab inks deal to buy USAA brokerage business for $1.8 billion
Jul 25, 2019
Disruptive ETFs face an ESG disruption
Jul 25, 2019
Vendors need to be held to a higher standard on privacy
Jul 25, 2019
ETF strategists getting crowded out by big asset managers
Jul 24, 2019
Young adviser's focus on 'joy, security, confidence' resonates with millennials
Jul 24, 2019
Waters amendment to kill Reg BI faces new hurdle
Jul 23, 2019
Schwab Charitable pegs 33% rise in grants to market strength, tax changes
Jul 23, 2019
TD Ameritrade CEO Tim Hockey says his exit is unrelated to M&A
Jul 23, 2019
Former Wells Fargo rep suspended for trading dead client's account
Jul 23, 2019
Budget agreement leaves SECURE Act by wayside
Jul 23, 2019
Texas hybrid managing $530 million goes RIA
Jul 23, 2019
Low-cost gold ETFs introduce new fiduciary challenge
Jul 23, 2019
Biggest firms win fight for cash flooding muni funds
Jul 23, 2019
Betterment escalates robo battle with new 2.69 percent interest rate
Jul 23, 2019
UBS loses 248 advisers in the Americas over past year
Jul 23, 2019
SEC warns RIAs to increase supervision of staff with disciplinary histories
Jul 23, 2019
Social Security has special rules for divorce
Jul 23, 2019
Self-reliance is essential, but it could be your downfall
Jul 23, 2019
Advisers react to Tim Hockey suddenly resigning from TD Ameritrade
Jul 23, 2019
5 ways to achieve healthy innovation as an adviser
Jul 22, 2019
Goldman Sachs says stocks near peak
Jul 22, 2019
Bills to strengthen SEC's hand seek bipartisan support
Jul 22, 2019
Morgan Stanley launches 'digital vault' platform for clients
Jul 22, 2019
TD Ameritrade inches closer to enabling in-vehicle trading
Jul 22, 2019
Los Angeles-area hybrid managing $500 million switches to LPL from Kestra
Jul 22, 2019
Financial advisers shouldn't have to stress over health insurance
Jul 22, 2019
Robinhood valued at $7.6 billion after latest round of funding
Jul 22, 2019
Longevity planning will be a central mission for advisers of the future
Jul 22, 2019
TD Ameritrade CEO Tim Hockey resigning
Jul 22, 2019
If you aren't asking tough questions, you aren't doing your job
Jul 22, 2019
Don't be unnerved by health-care cost estimates for retirement
Jul 20, 2019
Dearth of young advisers who can meet participant needs
Jul 20, 2019
Women still aren't part of the conversation. They must be
Jul 20, 2019
Convergence of retirement and wealth management is next 'battleground'
Jul 20, 2019
Broker-dealers say they have a leg up on aggregators
Jul 20, 2019
Andrew Sieg of Merrill Lynch on bank synergies and acting in clients' best interest
Jul 20, 2019
Scope of protecting participant account information not clear
Jul 20, 2019
Do data-privacy rules make cross-selling more difficult?
Jul 20, 2019
Top 50 equity mutual funds, second quarter 2019
Jul 20, 2019
Challenge or opportunity?
Jul 20, 2019
Top 50 fixed-income ETFs, second quarter 2019
Jul 20, 2019
Top 50 fixed-income mutual funds, second quarter 2019
Jul 20, 2019
Top 50 equity ETFs, second quarter 2019
Jul 19, 2019
Advisor Group rolls out cybersecurity program for broker-dealers
Jul 19, 2019
US rate of gray divorce has doubled since the 90s
Jul 19, 2019
Nick Schorsch returns to public view, this time to settle up with the SEC
Jul 19, 2019
Trump taps top lawyer against DOL fiduciary rule to head the department
Jul 19, 2019
Why a culture of compliance is critical
Jul 19, 2019
Merrill Lynch pays $40 million settlement over broker churning, faces second claim for $42 million
Jul 19, 2019
Goldman Sachs has what other 401(k) firms want
Jul 19, 2019
Senate Republicans seek allowances for RIAs to manage pooled crowdfunding money
Jul 18, 2019
Elizabeth Warren declares war on private equity 'vampires'
Jul 18, 2019
Commonwealth adviser managing $200 million switches to LPL-affiliated hybrid
Jul 18, 2019
AssetMark IPO seen as boon for financial services
Jul 18, 2019
New CEO of InvestmentNews announced
Jul 18, 2019
Finra arbitrators order Morgan Stanley to pay $3.3 million for concealing evidence
Jul 18, 2019
The wealth management circle of life
Jul 18, 2019
Fidelity, Dynasty back new tech-powered ESG asset manager
Jul 18, 2019
How do advisers estimate a client's longevity?
Jul 18, 2019
Lightyear's Wealth Enhancement Group acquires $1 billion RIA
Jul 17, 2019
Carson Group names leaders for adviser and consumer operations
Jul 17, 2019
Advisers shrug off Schwab's potential purchase of USAA brokerage
Jul 17, 2019
Money management for social media stars
Jul 17, 2019
Battle against SALT deduction reignited by lawsuit
Jul 17, 2019
Merrill Lynch duo managing $372 million goes indie with Raymond James
Jul 17, 2019
Finra reaches settlements with 56 firms for overcharging customers on mutual funds
Jul 17, 2019
Small 401(k) plans lag on important metrics
Jul 17, 2019
JPMorgan Securities rep managing $225 million joins indie tied to Raymond James
Jul 17, 2019
Merrill Lynch advisers should expect current pay grid to stay in place for 2020
Jul 17, 2019
3 lessons for advisers from 401(k) and 403(b) class-action settlements
Jul 17, 2019
Finra panel awards investors $1.16 million over sales of REITs, other complex products
Jul 17, 2019
Bull market malaria and other advisory firm ailments
Jul 17, 2019
What to copy from Personal Capital's client experience
Jul 16, 2019
CFP Board postpones enforcement of its revised fiduciary standard
Jul 16, 2019
SEC charges unlicensed Tennessee 'broker' for involvement with Ponzi scheme
Jul 16, 2019
Stock investors make $6 billion bet on S&P 500 ETFs
Jul 16, 2019
Fidelity adds low-cost funds, stepping up fee war
Jul 16, 2019
InvestmentNews CEO and publisher Suzanne Siracuse resigns
Jul 16, 2019
National Holdings facing lawsuit for allegedly retaliating against whistleblower
Jul 16, 2019
Making the future of financial advice as effortless as Uber will be no easy ride
Jul 16, 2019
Schorsch, AR Capital to pay $60 million to settle SEC charges
Jul 16, 2019
Wells Fargo Advisors slows down outflow of advisers
Jul 16, 2019
Wells Fargo adviser managing $500 million moves to RIA firm
Jul 16, 2019
Wells Fargo duo managing $350 million goes indie with Raymond James
Jul 16, 2019
Critics concerned with pending second wave of SEC share-class crackdown
Jul 16, 2019
Women in two-income households face greatest retirement risk
Jul 15, 2019
Ritholtz Wealth launches Betterment-powered robo advice platform
Jul 15, 2019
Adviser compensation is the challenge with fee-based annuities
Jul 15, 2019
Former Beverly Hills rep found guilty of $200 million fraud scheme
Jul 15, 2019
Branding tips for financial advisers looking to grow
Jul 15, 2019
Adviser finalists announced in 13th annual Invest in Others Awards
Jul 15, 2019
Democrats warn Trump not to index capital gains to inflation for tax purposes
Jul 15, 2019
Advisers scramble to help retirees navigate looming Fed rate cut
Jul 15, 2019
Cybersecurity still a top concern among RIA compliance execs
Jul 15, 2019
Charles Schwab reportedly in talks to buy USAA brokerage, wealth management business
Jul 15, 2019
Texting your clients? Read this first
Jul 15, 2019
3 aspects of retirement affected by divorce
Jul 12, 2019
Labor Secretary Alexander Acosta resigns after furor over Jeffrey Epstein sex charges
Jul 12, 2019
Departure of Alexander Acosta could slow DOL effort to revise fiduciary rule
Jul 12, 2019
LPL partners with Nationwide on 401(k) training for bank channel advisers
Jul 12, 2019
UBS hires advisers with $2 billion in client assets
Jul 12, 2019
ESG funds hitting their stride with record-level inflows
Jul 12, 2019
Finra bars former Morgan Stanley rep who hid outside accounts
Jul 12, 2019
Panic sales rekindle debate over ETF liquidity
Jul 12, 2019
CFP Board to announce possible delay of new fiduciary standard
Jul 12, 2019
Tiny ETF beats tech and everything else in second quarter
Jul 12, 2019
Cetera Financial Group eliminating Summit as a separate broker-dealer
Jul 12, 2019
The SECURE Act: Completing an unfinished masterpiece
Jul 12, 2019
Michael Kitces: The latest in financial adviser fintech — July 2019
Jul 11, 2019
Voya Financial launching robo-advice platform for brokers
Jul 11, 2019
Ariel Investments promotes Mellody Hobson to co-CEO
Jul 11, 2019
Finra provides detail on enforcement breaks for cooperation
Jul 11, 2019
CFP Board may make decision this week on delaying enforcement of fiduciary standard
Jul 11, 2019
Schwab subscription planning service draws $1 billion in new assets
Jul 11, 2019
FPA issues final, curtailed plan to reshape chapters
Jul 11, 2019
Hub in talks to buy $40 billion LPL branch Global Retirement Partners
Jul 11, 2019
SEC member Peirce to brokers: Talk to us early, often about Reg BI implementation problems
Jul 11, 2019
Edelman Financial Engines losing COO John Bunch
Jul 11, 2019
Orion Advisor Services acquires Advizr financial planning
Jul 11, 2019
Adviser managing $600 million moves to Raymond James
Jul 11, 2019
Retirement has become the lynchpin of complete advisory practices
Jul 11, 2019
Applauding the SEC's new approach to disclosure
Jul 11, 2019
401(k) data dilemma is hurting the industry — especially participants
Jul 11, 2019
Your people are the secret ingredient for great tech. Don't leave them behind
Jul 10, 2019
The best states for retirement
Jul 10, 2019
Surging demand turns solar panels into the hottest summer investment
Jul 10, 2019
Cetera, Allianz and Capital Group partner on retirement income technology
Jul 10, 2019
Fed Chairman Powell has 'serious concerns' about Facebook Libra
Jul 10, 2019
Ohio advisory firm managing $206 million moves to Kestra
Jul 10, 2019
To convert or not to convert portfolio reporting technology
Jul 10, 2019
EP Wealth acquires Pathlight Investors
Jul 10, 2019
David Lerner Associates' financial condition deteriorates
Jul 10, 2019
SEC's Blass rebuts assertion Reg BI is tougher than fiduciary standard
Jul 09, 2019
Finra arbitrators slap $1.46 million award on former Cadaret broker
Jul 09, 2019
What advisers need to know about working with student loan debt
Jul 09, 2019
Piper Jaffray buying Sandler O'Neill for $485 million
Jul 09, 2019
SEC head defends Reg BI, but only succeeds in igniting more criticism
Jul 09, 2019
SEC chairman Jay Clayton defends advice rule
Jul 09, 2019
Adviser opportunities in the gig economy
Jul 09, 2019
World bond index adds climate-risk screen
Jul 09, 2019
Fidelity says it's entitled to alleged 'secret payments' in 401(k) plans
Jul 09, 2019
What the end of iTunes teaches us about winning new clients
Jul 09, 2019
When clients survive a mass shooting
Jul 09, 2019
Build wealth by investing in your advisory business
Jul 09, 2019
Embracing the highs and lows of cannabis investing
Jul 08, 2019
Deutsche Bank to slash workforce by one-fifth as part of radical overhaul
Jul 08, 2019
Morningstar emphasizes fees, performance in upgrade of fund ratings
Jul 08, 2019
Finra bars ex-Raymond James compliance executive for data tampering
Jul 08, 2019
Independence means different things to different people in wealth management
Jul 08, 2019
Finra rogue broker proposal raises concerns among investor, industry advocates
Jul 08, 2019
RIA acquisitions on record pace, despite sometimes volatile markets
Jul 08, 2019
SEC bars ex-Transamerica broker who took $583,000 from clients
Jul 08, 2019
Finra arbitrators award $1.8 million to former USAA brokers for wrongful termination
Jul 08, 2019
Cannabis ETFs face a 'day of reckoning'
Jul 08, 2019
Party may be over for stocks in 2019
Jul 08, 2019
A higher standard of client care
Jul 08, 2019
Client longevity is advisers' top retirement planning concern
Jul 08, 2019
Crypto broker logjam may be swept away by regulatory guidance
Jul 08, 2019
Why healthy clients need to save more for retirement
Jul 06, 2019
Women whose spouses control the finances may be putting themselves, their families at risk
Jul 06, 2019
Educate clients on the reality of Social Security benefits
Jul 06, 2019
Millennial women and finances: Study yields surprising results
Jul 03, 2019
Morgan Stanley breakaway team forms $215 million RIA in N.J.
Jul 03, 2019
Client onboarding becomes even more of an advice firm challenge after mergers
Jul 03, 2019
New York lawmaker works on bill to establish fiduciary duty for advisers in state
Jul 03, 2019
How employee stock ownership becomes a succession plan
Jul 03, 2019
SEC bars unregistered adviser attempting to serve professional athletes
Jul 03, 2019
Former LPL broker with ties to ex-con charged with fraud
Jul 03, 2019
Zombie ETFs liquidated at a record pace in first half
Jul 02, 2019
Financial industry group asks CFP Board to back off if reps comply with Reg BI
Jul 02, 2019
Finra slaps Summit Brokerage with fines, restitution over broker churning
Jul 02, 2019
Former brokers say breaking away to be RIA went better than they feared
Jul 02, 2019
Vestwell adds two female fintech leaders to its board
Jul 02, 2019
Treasury proposes curtailing 'one bad apple' rule for MEPs
Jul 02, 2019
Finra bars broker accused of stealing $1 million from clients
Jul 02, 2019
LPL snags $1.1 billion team from Raymond James
Jul 02, 2019
6 best practices for running your firm
Jul 02, 2019
The perils of do-it-yourself IRA transactions
Jul 01, 2019
Judge rejects Ohio National motion to throw out case involving variable annuity commissions
Jul 01, 2019
MAI acquires insurance-oriented RIA
Jul 01, 2019
Active managers putting pressure on index funds
Jul 01, 2019
SEC commissioner Jackson seeks data on potential harm of easing rules for private placements
Jul 01, 2019
SEC bars head of terminated RIA, orders $1.3 million in payments
Jul 01, 2019
Deutsche Bank to add 300 employees to wealth management ranks
Jul 01, 2019
Ask these cybersecurity questions
Jul 01, 2019
Wall Street is going RIA-ish
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