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Site Map for January 2021
Date
Title
Jan 29, 2021
'How is this ultimately going to end? Poorly.' A look at the GameStop roller coaster, as well as Schwab's adviser service issues
Jan 29, 2021
Captrust acquires $800 million plan adviser
Jan 29, 2021
Robinhood adds market manipulation and gamification to a quiver of woes
Jan 29, 2021
SEC vows to act on potential manipulation during trading surge
Jan 29, 2021
Student loan debt linked to lower 401(k) balances
Jan 29, 2021
Buckle up! The GameStop saga isn't going away
Jan 29, 2021
Advisor Group, Cetera get boost to credit outlook
Jan 29, 2021
Ray Dalio considers cryptocurrencies for new funds
Jan 29, 2021
Robinhood raises $1 billion after trader revolt
Jan 28, 2021
Robinhood hit with lawsuits for blocking GameStop trades
Jan 28, 2021
Brokerages spark outrage from lawmakers after halting GameStop trades
Jan 28, 2021
Fidelity launched a PEP — here's why that matters
Jan 28, 2021
Industry veterans put short-squeeze bedlam in perspective
Jan 28, 2021
Fiduciary advocates urge SEC to rename Reg BI, eliminate broker conflicts
Jan 28, 2021
Atria acquires another indie B-D, SCF Securities
Jan 28, 2021
Facing competition, Raymond James boosts recruiting bonus
Jan 28, 2021
OneDigital acquires benefits consultant and adviser
Jan 28, 2021
MassMutual to buy Great American Life Insurance
Jan 28, 2021
Finra bars former Merrill Lynch rep
Jan 28, 2021
Jackson National to be spun off by UK insurer Prudential
Jan 28, 2021
Gensler poised to confront stock market hit by historic mania
Jan 28, 2021
Wells Fargo bans advisers from recommending GameStop, AMC
Jan 27, 2021
How social media fueled the GameStop stock surge
Jan 27, 2021
The latest in financial #AdviserTech — January 2021
Jan 27, 2021
Experts anticipate SEC probe of GameStop trading fluctuations
Jan 27, 2021
Brokerage platforms falter during GameStop surge
Jan 27, 2021
Carson Group acquires $200 million firm
Jan 27, 2021
Advisers ponder systemic risks to markets as GameStop stock spins out of control
Jan 27, 2021
It's not just GameStop – trading frenzy spreads to many other shorted stocks
Jan 27, 2021
Q4 2020 Top Fixed Income Mutual Funds
Jan 27, 2021
Q4 2020 Top Equity Mutual Funds
Jan 27, 2021
Delaying RMDs would have minimal tax impact, study finds
Jan 27, 2021
Labor rule on ESG already trimming fund options for retirement plans
Jan 27, 2021
Fidelity launches ESG friendly tool for advisers
Jan 27, 2021
GameStop whipsaws as short sellers capitulate
Jan 27, 2021
Q4 2020 Top Equity ETFs
Jan 27, 2021
Q4 2020 Fixed Income ETFs
Jan 27, 2021
AI fund that's beating S&P 500 has shifted into tech stocks
Jan 26, 2021
When eligibility for retirement and disability benefits overlaps
Jan 26, 2021
Regulators, investor advocates warn against deregulating private markets
Jan 26, 2021
BlackRock's Fink tells CEOs to focus on the environment
Jan 26, 2021
Annuity sales spike as investors sought protection in Q4
Jan 26, 2021
UBS adviser count dips as wealth management results roar
Jan 26, 2021
Schwab's customer service tests advisers' patience — and loyalty
Jan 26, 2021
UBS team managing $245 million goes indie with LPL
Jan 26, 2021
Finra bars former Merrill rep accused of churning
Jan 26, 2021
Conferences are planning in-person events in 2021
Jan 26, 2021
Finra fines Goldman Sachs $1.25 million over fingerprinting
Jan 26, 2021
Hightower notches third deal of 2021 with $830 million acquisition
Jan 26, 2021
Alight Solutions to go public by merging with SPAC
Jan 26, 2021
Black steps down as Apollo CEO in wake of Epstein scandal
Jan 26, 2021
How to close prospects at the first meeting
Jan 26, 2021
Sweet spot: How the RIA model helps serve clients
Jan 25, 2021
Give investors what they want — a Bitcoin ETF
Jan 25, 2021
CI Financial buys $23 billion RIA Segall Bryant & Hamill
Jan 25, 2021
Banks can provide an opportunity for RPAs
Jan 25, 2021
National Securities received $5.5 million PPP loan last year
Jan 25, 2021
Not even pandemic can derail record level of RIA consolidation
Jan 25, 2021
INmail: Nonworking spouse must wait for husband
Jan 25, 2021
Duo managing $473 million at Morgan Stanley joins Janney
Jan 25, 2021
Sammons Financial acquires $3 billion Ohio RIA
Jan 25, 2021
Mercer acquires $215 million Iowa RIA
Jan 25, 2021
An adviser guide to setting goals in 2021
Jan 25, 2021
Amid bubble fears, investors keep buying
Jan 25, 2021
Morgan Stanley's Gorman now best-paid bank CEO, topping Dimon
Jan 25, 2021
Day traders turning to advisers for help
Jan 25, 2021
Regulators must address savers’ cognitive decline
Jan 25, 2021
Answering your questions
Jan 25, 2021
Dramatic changes to legislation seem unlikely despite full Democratic control
Jan 22, 2021
Finra examines reps taking PPP loans for potential violations
Jan 22, 2021
Cetera zeroes in on user experience with Riskalyze
Jan 22, 2021
A new day in Washington, but what does that mean for financial services?
Jan 22, 2021
Texas broker charged with child sexual assault
Jan 22, 2021
Fidelity launches pooled employer plan
Jan 22, 2021
Fidelity executive leading $3.6 trillion Personal Investing group retires
Jan 22, 2021
401(k) suits filed against Mercedes, Takeda, American Trust
Jan 22, 2021
5 retirement planning resolutions for 2021
Jan 22, 2021
Wall Street skimps on compensation despite pandemic windfall
Jan 22, 2021
37% of U.S. advisers consider ESG factors in every portfolio
Jan 22, 2021
Now that Wells Fargo has a plan, what's in it for advisers?
Jan 22, 2021
Bitcoin's worst week since March rattles faith in crypto
Jan 22, 2021
Here are MSCI’s five ESG trends to watch in 2021
Jan 21, 2021
Allison Herren Lee named acting SEC chair
Jan 21, 2021
3 pandemic trends we should hold onto
Jan 21, 2021
Tennessee bank program moves to Raymond James
Jan 21, 2021
Wealthfront claims M1 Finance spied on client research sessions
Jan 21, 2021
Trump pardons provide leniency in cases involving investor harm
Jan 21, 2021
What the Biden administration really means for fintech
Jan 21, 2021
Mutual fund assets continue to decline in 2020
Jan 21, 2021
Mercer Advisors acquires $440 million RIA
Jan 21, 2021
BlackRock allows crypto exposure in two funds
Jan 20, 2021
SageView deal shows RPA M&A market is still hot
Jan 20, 2021
Retiree debt doubles during pandemic
Jan 20, 2021
OneDigital acquires firm overseeing $1 billion in plan assets
Jan 20, 2021
Wealthtech funding hits record $3.7 billion in 2020
Jan 20, 2021
Biden signals administration will review DOL ESG rule
Jan 20, 2021
Morgan Stanley adds close to 500 new advisers in 2020
Jan 20, 2021
Retirement risk rose slightly in 2020, study finds
Jan 20, 2021
Trio managing $500 million at BB&T joins Raymond James
Jan 20, 2021
UBS faces year of uncertainty amid probe of CEO Hamers
Jan 20, 2021
Preparing clients for the next bear market
Jan 20, 2021
Bitcoin falls below $35,000 as crypto mania subsides
Jan 19, 2021
401(k) sponsors in the dark about cognitive decline
Jan 19, 2021
Toward a definition of financial wellness
Jan 19, 2021
William Blair team managing $2.2 billion forms RIA
Jan 19, 2021
SEC charges father-and-son team with fraud
Jan 19, 2021
SEC charges former Arizona adviser with fraud
Jan 19, 2021
Gensler expected to put teeth in Reg BI — not overturn it
Jan 19, 2021
Goldman Sachs to expand Marcus Invest internationally in 2021
Jan 19, 2021
Stock market's 'Biden bounce' raises caution flags
Jan 19, 2021
Mercer acquires $365 million Virginia RIA
Jan 19, 2021
Merrill Lynch's hunt for new clients tamed by COVID-19
Jan 19, 2021
Fidelity chops index target-date minimums, following Vanguard
Jan 19, 2021
Two new 401(k) lawsuits and one big settlement
Jan 19, 2021
Firms with minority managers more likely to have diverse clients
Jan 18, 2021
INmail: Remarriage rules for survivors
Jan 18, 2021
Navigating political conversations with clients
Jan 18, 2021
Biden taps Gensler as SEC chairman
Jan 18, 2021
A resolution to cover the topics advisers value most
Jan 18, 2021
IBDs saw decent year in 2020 wirehouse recruiting
Jan 18, 2021
Broker-dealers brace for cyberthreats
Jan 18, 2021
Have the conversation
Jan 16, 2021
See It Be It Role Model: Gerald Tamparong
Jan 15, 2021
IBDs and cybersecurity in the wake of SolarWinds
Jan 15, 2021
Rockefeller adds three teams managing $1.7 billion
Jan 15, 2021
50% spike in advisers allocating to cryptocurrency in 2020: Report
Jan 15, 2021
Is it high time to invest in cannabis?
Jan 15, 2021
Target-date fund 2020 sales in red as CITs rose, older workers fled: Report
Jan 15, 2021
Wells Fargo reports another sharp annual decline in advisers
Jan 15, 2021
Focus Financial takes stake in $677 million Missouri RIA
Jan 15, 2021
How the Biden administration can protect retirement savings
Jan 15, 2021
Robinhood hires two Finra execs
Jan 15, 2021
Wells Fargo nears deal to sell asset management unit
Jan 14, 2021
Senate leader on tax policy seeks to increase capital gains taxes
Jan 14, 2021
Savers snub taxable brokerage accounts, lack of advice is culprit: Report
Jan 14, 2021
Ed Butowsky pulls Twitter apology to brother of murdered Democratic staffer
Jan 14, 2021
The future of 401(k) plans, as industry leaders see it
Jan 14, 2021
BlackRock taps fintech startup to bolster ESG investing
Jan 14, 2021
UBS teams managing $900 million bolt to RBC
Jan 14, 2021
89% of women failed retirement literacy quiz: Study
Jan 14, 2021
Texas trio managing $175 million exits Avantax for LPL
Jan 14, 2021
Goldman moves closer to offering Marcus checking accounts
Jan 14, 2021
What elite RPAs think about PEPs
Jan 14, 2021
Citi merges wealth businesses
Jan 14, 2021
Potential benefits clash in the workplace
Jan 14, 2021
ESG investors balance financial and impact performance
Jan 13, 2021
Schwab ends political donations permanently
Jan 13, 2021
Will Walmart offer wealth management products?
Jan 13, 2021
What Raymond James' purchase of NWPS means for 401(k) industry
Jan 13, 2021
DOL tells 401(k) sponsors how to find 'missing' participants
Jan 13, 2021
Interest groups rethink donations to lawmakers who objected to election results
Jan 13, 2021
Hub International acquires Alpha Pension Group
Jan 13, 2021
Solving for retirement security: Lessons from the DC institutional market
Jan 13, 2021
DPL Financial Partners secures $26 million in private equity capital
Jan 13, 2021
Remote workers more likely to open managed accounts: Morningstar
Jan 13, 2021
Giant California RIA acquires two firms
Jan 13, 2021
Three issues set to motivate ESG investors in 2021
Jan 13, 2021
4 ways to become more digitally empowered
Jan 13, 2021
New year, new you: Prospecting in the virtual world
Jan 13, 2021
Visa, Plaid abandon $5.3 billion deal amid antitrust suit
Jan 13, 2021
Mercer announces fourth RIA acquisition in 8 days
Jan 13, 2021
An old bond strategy is new again — and it's good as gold
Jan 12, 2021
Black advisers share wide-ranging views of Capitol Hill riot and its fallout
Jan 12, 2021
Douglas King starts term as chair of CFP Board
Jan 12, 2021
Matt Granski named president of Miracle Mile Advisors
Jan 12, 2021
Biden poised to pick former CFTC chief Gary Gensler to head SEC
Jan 12, 2021
Surprise! Mutual fund revenue sharing makes 401(k)s more expensive
Jan 12, 2021
Raymond James cut executive pay in 2020
Jan 12, 2021
Hightower firm in Massachusetts acquires $200 million indie
Jan 12, 2021
Father-son duo managing $150 million join LPL
Jan 12, 2021
Merger creates $4.4 billion RIA in New Jersey
Jan 12, 2021
InvestmentNews launches new website: Fintech for Advisers
Jan 12, 2021
The Key to Small RIA Firm Success: ‘Automated Personalization’
Jan 11, 2021
Vestwell files as PEPs provider
Jan 11, 2021
Blue wave unleashes demand for clean-energy ETFs
Jan 11, 2021
Advisers predict only partial return to normal in 2021
Jan 11, 2021
Pandemic helped push global ESG bond market to record
Jan 11, 2021
Kitces to offer online education
Jan 11, 2021
Strong run for small-cap stocks is just getting started
Jan 11, 2021
Number of female, Black and Hispanic CFPs increases
Jan 11, 2021
Brokerages suspend political donations after riots at US Capitol
Jan 11, 2021
INmail: Earnings after age 66 may increase Social Security benefits
Jan 11, 2021
Mercer Global buys second woman-led RIA in a week
Jan 11, 2021
B. Riley to acquire remaining 55% of National Holdings
Jan 11, 2021
RIA M&A starts 2021 with a bang
Jan 11, 2021
Investing depends upon a stable government
Jan 11, 2021
Sometimes hope is hard
Jan 11, 2021
Market watchers search for silver linings in 2021
Jan 11, 2021
Razor-thin majority in Senate endangers Biden's agenda
Jan 08, 2021
Bob Doll's 2021 Prediction Special
Jan 08, 2021
Employment uncertainty tests financial plans
Jan 08, 2021
Critics say Finra proposal to rein in rogues falls short
Jan 08, 2021
Buffered ETFs add 'guard rails' to uneasy equity market
Jan 08, 2021
Vail 401(k) lawsuit dismissed
Jan 08, 2021
SoFi plans for more mergers after going public through SPAC
Jan 08, 2021
ESG issues in focus for 2021
Jan 08, 2021
Biden names Boston Mayor Walsh to head Labor Department
Jan 08, 2021
Democrats will have clout needed for risky bid to end SALT cap
Jan 07, 2021
Gush of ESG bond sales expected from blue wave
Jan 07, 2021
Stocks rally on stimulus hopes
Jan 07, 2021
January is the new December for charitable contributions
Jan 07, 2021
'Rule of law prevailed': Advisers confident after riots at US Capitol
Jan 07, 2021
Allstate sued again over target-dates, managed accounts in 401(k)
Jan 07, 2021
Driving progress during an unprecedented year
Jan 07, 2021
Mercer plants flag in Georgia with second deal this week
Jan 07, 2021
Captrust adds $3.29 billion with MRA Associates deal
Jan 07, 2021
Crypto market value tops $1 trillion as Bitcoin hits $38,000
Jan 06, 2021
The cost of record-keeper consolidation
Jan 06, 2021
Robinhood exec walks through regulatory revolving door
Jan 06, 2021
Stocks trim gains amid Capitol chaos
Jan 06, 2021
Vestwell adding first managed account option to its 401(k) business
Jan 06, 2021
Morgan Stanley taps head of private wealth management to lead HR
Jan 06, 2021
Rockefeller acquires $1.4 billion Chicago family office
Jan 06, 2021
ABLE accounts underutilized by advisers: Report
Jan 06, 2021
Truist Financial sells 401(k) business to OneDigital
Jan 06, 2021
Morgan Stanley rep managing $138 million bolts to Commonwealth
Jan 06, 2021
Wishing you a successful new year
Jan 06, 2021
Wealthy families want more hedge funds: BlackRock
Jan 05, 2021
SEC bars former Morgan Stanley broker who stole $5 million
Jan 05, 2021
Skip Schweiss becomes FPA president
Jan 05, 2021
Strategic delegating is key to success
Jan 05, 2021
Are advisers investing client assets in Bitcoin?
Jan 05, 2021
SageView sells majority stake to PE firm Aquiline
Jan 05, 2021
Markets brace for greater chance of blue wave in Georgia
Jan 05, 2021
Florida indie managing $400 million hops to LPL from Kestra
Jan 05, 2021
Mercer Global Advisors scoops up $800 million Atlanta RIA
Jan 04, 2021
Boston Private acquired by Silicon Valley Bank for $900 million
Jan 04, 2021
Biggest ETF issuers struggle to make mark in 2020 launches
Jan 04, 2021
Wells Fargo to expand investment bank
Jan 04, 2021
Emigrant takes stake in $1.7 billion Texas RIA
Jan 04, 2021
More money, more problems: What to do if your client wins Powerball
Jan 04, 2021
Momentum picks up for state-level best interest rule on annuity sales
Jan 04, 2021
Billion-dollar Morgan Stanley team goes indie with Raymond James
Jan 04, 2021
Elad Roisman named acting SEC chairman
Jan 04, 2021
New fund brings private equity to the accredited masses
Jan 04, 2021
LPL hit with $6.5 million Finra fine over lax supervision
Jan 04, 2021
Focus unit to acquire British planning firm
Jan 04, 2021
Hightower acquires $8 billion Bel Air Investment Advisors
Jan 04, 2021
Mark Bruno on the big picture of M&A in the RIA space
Jan 04, 2021
Bitcoin rally screeches to a halt
Jan 04, 2021
Buy, sell or be outbid: How M&A is affecting retirement plan advisers
Jan 04, 2021
The risks record keepers see with PEPs
Jan 03, 2021
Bitcoin breaches $34,000 as rally continues in new year
Jan 01, 2021
The US Presidential election - how US investors reacted
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