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Site Map for October 2020
Date
Title
Oct 30, 2020
DOL releases final rule that could curb ESG in retirement plans
Oct 30, 2020
Inheriting client assets? Finra says not so fast
Oct 30, 2020
Hackers say they hold keys to 10,000 Robinhood accounts
Oct 30, 2020
Stifel adds three Merrill advisers
Oct 30, 2020
Chip Walker exits Wells Fargo to join Baird
Oct 30, 2020
BlackRock launches small-cap value ETF, defying market trends
Oct 30, 2020
Buckingham acquires $782 million RIA
Oct 30, 2020
Biden win would hit private equity deals
Oct 29, 2020
LPL sees more industry consolidation coming
Oct 29, 2020
More companies embrace climate risk disclosure than actually do it
Oct 29, 2020
Adviser optimism rises for fourth quarter
Oct 29, 2020
Don’t count Trump out, but adviser pundits make Biden favorite to win
Oct 29, 2020
Raymond James still 'very pleased' with recruiting in face of COVID-19
Oct 29, 2020
Gold falls to one-month low amid pandemic worries
Oct 29, 2020
3 mistakes new IRA beneficiaries are making
Oct 29, 2020
FBI charges missing radio show adviser with mail fraud
Oct 29, 2020
COVID-19 has proven the crucial role of financial advisers
Oct 29, 2020
Is Waddell & Reed making a comeback?
Oct 29, 2020
Estate tax strategies heading into the election
Oct 29, 2020
Digital demand stokes big returns in emerging markets
Oct 28, 2020
Stocks tumble on worries about rising infections hitting economy
Oct 28, 2020
'Women are losing their jobs at a greater rate than men': Sallie Krawcheck
Oct 28, 2020
SEC approves rule limiting use of derivatives in funds
Oct 28, 2020
Most investors regret tapping 401(k)s early — but would do it again
Oct 28, 2020
Schwab's Liz Ann Sonders puts odds of stimulus at slim to none
Oct 28, 2020
Advisor Group cuts pricing for wrap fee accounts
Oct 28, 2020
Best practices for financial adviser text messaging
Oct 28, 2020
Third-quarter annuity sales higher than in Q2, but below 2019 levels
Oct 28, 2020
Wells Fargo hits lowest level since 2009
Oct 27, 2020
Competition outpaces COVID-19 woes for RIAs
Oct 27, 2020
Finra denies J.P. Morgan effort to clamp down on breakaway brokers
Oct 27, 2020
Allworth Financial acquires $158 million Arizona RIA
Oct 27, 2020
Duo managing $475 million at UBS joins RBC
Oct 27, 2020
Bipartisan retirement bill would increase RMD age to 75
Oct 27, 2020
DOL posts record financial recoveries for benefits plans
Oct 27, 2020
Illinois, Michigan and Utah top Morningstar’s 529 plan ratings
Oct 27, 2020
LPL Financial snaps up trading platform Blaze Portfolio
Oct 27, 2020
Robust client relationships focus on wealth and health
Oct 27, 2020
Schwab layoffs ‘still to come’: CEO Walt Bettinger
Oct 27, 2020
Collapse of three-legged stool threatens retirement security
Oct 27, 2020
SEC reportedly shelving proposed change to stock reporting threshold
Oct 27, 2020
Wells Fargo exploring $1 billion-plus corporate-trust sale
Oct 26, 2020
AIG to split off life insurance and retirement unit, names new CEO
Oct 26, 2020
Brokers generally ‘meeting their obligations’ on Reg BI: Clayton
Oct 26, 2020
Schwab to lay off 1,000 employees after TD acquisition
Oct 26, 2020
The latest in financial #AdviserTech — October 2020
Oct 26, 2020
Demand for financial wellness is overwhelming
Oct 26, 2020
Stocks hit on COVID concerns, fading hopes for fiscal stimulus
Oct 26, 2020
SEC Democrats object to no-action letter on brokers borrowing securities
Oct 26, 2020
iCapital targets global market share with latest acquisition
Oct 26, 2020
Americans worry inflation will make retirement unaffordable
Oct 26, 2020
Adviser managing $220 million at UBS moves to Raymond James
Oct 26, 2020
INmail: Social Security do-over options
Oct 26, 2020
Work-life balance in the time of COVID-19
Oct 26, 2020
The secret to closing prospects
Oct 26, 2020
Merrill team managing $550 million moves to Rockefeller Capital
Oct 26, 2020
Strategies of top-performing firms can help RIAs thrive
Oct 26, 2020
I was an RIA summer intern: Here’s my advice to advisers
Oct 26, 2020
Bond defaults mean almost total losses in new era of bankruptcies
Oct 26, 2020
'I'm getting lit up on TikTok!' A candid conversation with Josh Brown
Oct 26, 2020
UBS to boost fixed pay, cut bonuses
Oct 26, 2020
Make personal finance fun
Oct 26, 2020
Lessons from the financial experts
Oct 26, 2020
Why are advice firms still trying to ride a bull market?
Oct 26, 2020
Putting words into action
Oct 23, 2020
SEC slaps former adviser with $4.24 million penalty
Oct 23, 2020
160 at MassMutual face layoffs due to Empower deal
Oct 23, 2020
Wells Fargo abandons plans to cut 401(k) match for high earners
Oct 23, 2020
Is your advisory firm a Best Place to Work?
Oct 23, 2020
Auto-IRA states, AARP blast CalSavers lawsuit claims
Oct 23, 2020
The InvestmentNews Podcast: A 2020 review and a look ahead
Oct 23, 2020
UBS taps Refinitiv data for adviser workstation
Oct 23, 2020
Adviser managing $300 million goes indie with Raymond James
Oct 23, 2020
Wells Fargo said to discuss sale of asset management unit
Oct 23, 2020
Are free trades next for digital advice?
Oct 22, 2020
Wells Fargo cuts 401(k) match for high earners, hurting advisers
Oct 22, 2020
How advisers are fending off fee pressure
Oct 22, 2020
Securities America loses top executive to Carson Group
Oct 22, 2020
Senate Democrats urge SEC to scrap proposed boost in stock reporting threshold
Oct 22, 2020
Register for the Nov. 23 final Women Adviser Summit of the year!
Oct 22, 2020
Goldman hit with $2.9 billion fine in 1MDB case
Oct 22, 2020
Her Success Matters: Tiffanie Gray, first vice president and branch manager, Wells Fargo Advisors
Oct 22, 2020
Former Wells Fargo manager alleges age, race, disability bias
Oct 22, 2020
LPL adds $350 million team after bank merger
Oct 22, 2020
Diversity, equity and inclusion are ‘not just words’
Oct 22, 2020
Betterment stacks impact investing as demand soars
Oct 22, 2020
Sustainable debt market becoming unsustainable
Oct 22, 2020
UBS rolls out small-business 401(k) fiduciary program
Oct 22, 2020
Empower Retirement posts $110 billion in new-client sales
Oct 21, 2020
401(k) record keepers near final stage of ‘consolidation curve’
Oct 21, 2020
Finding the clearest breakaway path toward independence
Oct 21, 2020
CFP hopefuls slow to embrace remote exams
Oct 21, 2020
Fiduciary insurance costs soar amid new 401(k) litigation
Oct 21, 2020
Wirehouse advisers more productive than others, Cerulli finds
Oct 21, 2020
Pandemic fuels retirement fears, study finds
Oct 21, 2020
Invesco, Janus need scale to compete with BlackRock, Peltz says
Oct 21, 2020
Labor Department moves at 'warp speed' on ESG rule
Oct 21, 2020
Employees come first — not clients
Oct 21, 2020
Former SagePoint rep fined $5,000 for unapproved private transactions
Oct 20, 2020
Timely tax strategies on the eve of the election
Oct 20, 2020
Wealthsimple's $87 million round makes it the latest tech unicorn
Oct 20, 2020
New 60/40 portfolio substitutes riskier hedges for U.S. debt
Oct 20, 2020
Adviser count down, profit up at UBS
Oct 20, 2020
Canadian teachers become unlikely owners of US advisory firm
Oct 20, 2020
More participation equals more savings, Fidelity study of retirement plans finds
Oct 20, 2020
Father-son planning duo launch firm aimed at pharma execs
Oct 20, 2020
Hightower takes stake in $800 million Hart Financial Group
Oct 20, 2020
Investment Company Institute appoints Eric Pan chief executive
Oct 20, 2020
Exit of UBS CEO leaves plenty of work for successor
Oct 20, 2020
ESG pioneer Amy Domini on elections, climate and her start
Oct 20, 2020
Pandemic-weary advice industry shows signs of taking flight
Oct 19, 2020
Reg BI promotes same standard of care across advice models: SEC's Clayton
Oct 19, 2020
Planners: Share your time and change lives
Oct 19, 2020
NYSE threatens to move out of New Jersey if trade tax is imposed
Oct 19, 2020
Bill would let 403(b)s use PEPs
Oct 19, 2020
Morgan Stanley's Gorman stresses caution amid 'turmoil and uncertainty'
Oct 19, 2020
Fidelity's eMoney Advisor launches mobile app for financial plans
Oct 19, 2020
INmail: Birthdate foils ex-spouse’s Social Security claiming strategy
Oct 19, 2020
LPL nabs $1 billion hybrid from Cetera
Oct 19, 2020
'All trick and no treat.' Mary Beth Franklin on the Social Security trust fund crisis and Wells Fargo lays off advisers
Oct 19, 2020
Are prospective clients looking for diversity?
Oct 19, 2020
Speculators reverse big Nasdaq short
Oct 19, 2020
Planning for uncertainty around Social Security
Oct 19, 2020
How secure is Social Security?
Oct 19, 2020
Turn and face the strange ch-ch-changes!
Oct 16, 2020
$1 billion RIA leaves Cambridge Investment Group
Oct 16, 2020
RBC advisers managing $416 million move to Raymond James
Oct 16, 2020
What will Schwab cut from TD's Veo One?
Oct 16, 2020
Fidelity on pace to dominate HSA business
Oct 16, 2020
RBC recruits female team managing $1.2 billion from JPMorgan
Oct 16, 2020
ESG is coming for emerging markets
Oct 16, 2020
Court in Colorado enters judgment against Ponzi schemer
Oct 16, 2020
Buffett inches toward Wells Fargo exit
Oct 16, 2020
Addressing women's longevity gap
Oct 15, 2020
Robinhood internal probe finds hackers hit almost 2,000 accounts
Oct 15, 2020
November CFP exam will include online option
Oct 15, 2020
401(k) plans should allow cross selling: Report
Oct 15, 2020
New Jersey financial transaction tax set for Assembly hearing
Oct 15, 2020
Morgan Stanley adds advisers during pandemic
Oct 15, 2020
Most advisers now have more clients than before pandemic, survey finds
Oct 15, 2020
“FPA must become more relevant to financial planners at every stage of their careers.”
Oct 15, 2020
JPMorgan Chase creates small-business 401(k) plan
Oct 15, 2020
Hybrid managing $220 million moves to LPL from Advisor Group
Oct 15, 2020
Value stocks could shine after the election
Oct 15, 2020
U.S. institutions cooler to ESG than investors globally, survey finds
Oct 15, 2020
New asset manager tests adviser appetite for targeted ETFs
Oct 15, 2020
New book details how financial pros manage their own money
Oct 14, 2020
Wells Fargo fires more than 100 workers for abusing federal aid program
Oct 14, 2020
Bank of America's free planning tool could benefit advisers too
Oct 14, 2020
Nestle sued over its 401(k)
Oct 14, 2020
Advisers should keep an eye on state laws and regulations
Oct 14, 2020
Investors unfazed by pandemic-related market volatility, Finra finds
Oct 14, 2020
Wells Fargo cuts 'sizable group' of advisers after profits slump
Oct 14, 2020
Criminal, civil charges filed against phony adviser in $2.95 million fraud
Oct 14, 2020
Voya offers credit to retirement plans of minority-owned businesses
Oct 14, 2020
Wells Fargo third-quarter profit slumps
Oct 14, 2020
Build your digital toolkit like it's a fintech smartphone
Oct 13, 2020
Robo Wealthsimple negotiating fresh funding round
Oct 13, 2020
Fidelity plans to hire 4,000 over next six months
Oct 13, 2020
How to stay out of trouble with ESG-related investments
Oct 13, 2020
Savings in DC plans increase, but outcomes remain 'bleak'
Oct 13, 2020
A better alternative to withdrawal rights in trusts for children
Oct 13, 2020
D&I award video presentations
Oct 13, 2020
JPMorgan asset management unit hits $3.7B in revenue
Oct 13, 2020
XYPN advocates for consistent regulation of fee-for-service advisory model
Oct 13, 2020
Avantax imposes new fee on held-away accounts
Oct 13, 2020
How aging advisers could hurt the 401(k) industry
Oct 13, 2020
Social Security announces 1.3% COLA for 2021
Oct 13, 2020
Apella Capital acquires $489 million Washington RIA
Oct 13, 2020
A record $170 billion flooded into bond ETFs this year
Oct 12, 2020
2020 data studies
Oct 12, 2020
401(k) fees are eating Americans' retirement savings
Oct 12, 2020
XYPN rules out Supreme Court appeal over Reg BI
Oct 12, 2020
T. Rowe Price to cut expenses on its Alaska 529 plans
Oct 12, 2020
David Lerner Associates' liabilities keep growing
Oct 12, 2020
Salesforce 401(k) suit dismissal a reprieve amid much litigation
Oct 12, 2020
INmail: Divorce and Social Security offset rules
Oct 12, 2020
Schwab closes $22 billion acquisition of TD Ameritrade. Nicole Casperson breaks it down
Oct 12, 2020
Get creative about client events in a virtual world
Oct 12, 2020
ETF price wars may resume
Oct 12, 2020
TAMPs consolidate to compete
Oct 12, 2020
SignatureFD appoints Heather Robertson Fortner CEO
Oct 12, 2020
Mapping a momentous shift in adviser geography
Oct 12, 2020
Private Wealth Adviser goes international
Oct 11, 2020
Her Success Matters: Erin Botsford, The Advisor Authority
Oct 09, 2020
Be inclusive and intentional to add diversity, panel says
Oct 09, 2020
Tom Nally out at TD Ameritrade
Oct 09, 2020
The InvestmentNews Podcast: Portfolio makeovers
Oct 09, 2020
Setting the pace
Oct 09, 2020
Robinhood users say accounts were looted
Oct 09, 2020
How 'baby bonds' could reshape racial wealth inequality
Oct 09, 2020
Green investments rally ahead of potential 'blue wave' election
Oct 09, 2020
Ritholtz CEO Josh Brown on why your marketing strategy matters
Oct 09, 2020
US asset managers race to gain China market share
Oct 09, 2020
FATCA: A force to be reckoned with
Oct 09, 2020
Chinese equities emerge from the pack
Oct 09, 2020
Volatility coming for muni market
Oct 09, 2020
UBS chairman says bank isn't seeking partner
Oct 09, 2020
Adviser managing $400 million at Deutsche Bank moves to Alex. Brown
Oct 09, 2020
YCharts acquired by private equity firm LLR Partners
Oct 08, 2020
SEC warns firms not to omit disciplinary history from Form CRS
Oct 08, 2020
Morgan Stanley fined $60 million over failed hardware oversight
Oct 08, 2020
Clayton touts SEC enforcement achievements despite pandemic disruptions
Oct 08, 2020
OneDigital receives majority investment from PE deal
Oct 08, 2020
Morgan Stanley adviser managing $420 million joins RBC
Oct 08, 2020
New Islamic robo-adviser looks to attract US investors
Oct 08, 2020
It's the end of the world as we know it
Oct 08, 2020
Low-cost VA for RIAs introduced by RetireOne and Protective
Oct 08, 2020
Inside Morgan Stanley's $7 billion deal for Eaton Vance
Oct 08, 2020
Wealth Enhancement Group acquires $923 million RIA
Oct 08, 2020
Dynasty is closing 25-person office in New York
Oct 08, 2020
Morgan Stanley keeps buying, will acquire Eaton Vance
Oct 08, 2020
The SEC's push for more alts and private placements is the wrong move at the wrong time
Oct 07, 2020
SEC proposal would allow ‘finders’ to pitch unregistered securities
Oct 07, 2020
New worry that ESG investing is bubble as bonds pass $1 trillion
Oct 07, 2020
In-plan retirement income slow to arrive
Oct 07, 2020
Majority of Americans flunk financial literacy test
Oct 07, 2020
Why is ESG used most in retirement plans? It's not performance
Oct 07, 2020
SEC streamlines process for creation of fund of funds
Oct 07, 2020
Wells Fargo chops more than 700 commercial banking jobs
Oct 07, 2020
Iowa credit union’s $350 million investment unit switches to LPL
Oct 07, 2020
Second Trump term could be boon for private market offerings
Oct 07, 2020
Encouraging clients to live a little
Oct 07, 2020
Traditional marketing is a casualty of the pandemic
Oct 06, 2020
What will Schwab do with TD’s Veo One?
Oct 06, 2020
Critics pummel SEC effort to boost reporting threshold for money managers
Oct 06, 2020
Schwab's Bernie Clark christens TD deal with open arms to RIAs
Oct 06, 2020
Radio show adviser reported missing ahead of SEC investigation
Oct 06, 2020
TriNet sued over MEPs
Oct 06, 2020
Do right by your employees
Oct 06, 2020
Don’t let ageism stop you from talking about longevity
Oct 06, 2020
UBS team managing $300 million goes RIA
Oct 06, 2020
Stress relief coming? 70% of Americans don’t see it soon
Oct 05, 2020
Solving for insolvency
Oct 05, 2020
Are MEPs the next big target for lawsuits?
Oct 05, 2020
RBC nabs Morgan Stanley team managing $625 million
Oct 05, 2020
Latest ETF launch promotes social justice
Oct 05, 2020
Hybrid managing $200 million switches to LPL from Avantax
Oct 05, 2020
AR Global REIT splits, lists, tanks
Oct 05, 2020
Where opportunity meets responsibility
Oct 05, 2020
The future of financial planning
Oct 05, 2020
Bets mount on steeper Treasury yield curve
Oct 05, 2020
Shining stars who find the time to help others
Oct 05, 2020
Retirement planning and biological age testing
Oct 05, 2020
We listened
Oct 04, 2020
InvestmentNews Podcast: Big picture look at RIA M&A
Oct 02, 2020
Trian Fund Management takes 9.9% stakes in Invesco, Janus Henderson
Oct 02, 2020
Fidelity adds $148 billion in plan assets through July
Oct 02, 2020
Schlichter slapped with sanction in Great-West lawsuit
Oct 02, 2020
Will RIAs adapt fast enough to compete? Joe Duran, Michael Kitces debate
Oct 02, 2020
Finra proposes fee increase beginning in 2022
Oct 02, 2020
Four bank advisers managing $678 million affiliate with Raymond James
Oct 02, 2020
Third-quarter RIA deals break a record
Oct 02, 2020
Ann Senne – Head of Advice & Solutions, RBC Wealth Management
Oct 02, 2020
Would a Democratic win impact financial regulations?
Oct 01, 2020
InvestmentNews 2019 Women to Watch Awards
Oct 01, 2020
Faith-based investing catches a ride on the ESG wave
Oct 01, 2020
CFP Board changes governance practices
Oct 01, 2020
CalSavers registers thousands of businesses, will see bump
Oct 01, 2020
Merrill's army of newbies to resume cold-calling
Oct 01, 2020
First blank-check ETF debuts
Oct 01, 2020
Focus Financial takes stake in $1.6 billion RIA
Oct 01, 2020
Wealthspire to acquire $1.5 billion StratWealth
Oct 01, 2020
Fed approves Morgan Stanley acquisition of ETrade
Oct 01, 2020
Schwab acquisition of TD to close Oct. 6
Oct 01, 2020
FPA names Dennis J. Moore 2021 president-elect
Oct 01, 2020
2019 Rising Star Phuong Luong, Founder, JustWealth
Oct 01, 2020
Elissa Buie, 2019 Alexandra Armstrong Award Winner
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