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Site Map for February 2021
Date
Title
Feb 26, 2021
$1 billion Merrill Lynch team moves to Rockefeller
Feb 26, 2021
NFP, Natixis targeted in 401(k) lawsuits
Feb 26, 2021
Focus Financial launches secondary offering
Feb 26, 2021
Finra offers additional licensing exams online amid Covid-19
Feb 26, 2021
Envestnet boosts expenses to build new financial ecosystem
Feb 26, 2021
LPL recruiting loans jump again in 2020
Feb 26, 2021
Merrill Lynch ramps up wealth unit in Florida
Feb 26, 2021
What advisers need to know about the new employee retention credit
Feb 26, 2021
Envestnet rolls out Trust Services Exchange
Feb 26, 2021
PE firm takes stake in Signet Financial
Feb 25, 2021
SEC isn’t dropping the hammer yet in Reg BI exams
Feb 25, 2021
Use this philanthropic giving tool for impact investing
Feb 25, 2021
Covid didn’t change 401(k) saving habits, ICI says
Feb 25, 2021
Demand for RIA talent drives compensation higher: Schwab
Feb 25, 2021
Nick Schorsch is back — and heading up a SPAC
Feb 25, 2021
Educators, hit hard by Covid, are leaving jobs and worried about retirement
Feb 25, 2021
JPMorgan’s Thasunda Duckett named TIAA chief executive
Feb 25, 2021
Finra censures, fines Securities America $125,000
Feb 25, 2021
Three Advantages of a Custom Passive SMA for the Taxable Investor
Feb 24, 2021
Cure the harm Trump administration caused savers
Feb 24, 2021
Corporate climate disclosures to be scrutinized aggressively by SEC
Feb 24, 2021
JPMorgan creates investment product for Black-owned banks
Feb 24, 2021
LPL, Cetera gear up for fight over Voya advisers
Feb 24, 2021
SPAC frenzy takes on wealthtech
Feb 24, 2021
DOL nominee Walsh raises concerns about Trump rule curbing ESG retirement investing
Feb 24, 2021
$1.8 billion mutual fund halts redemptions over alleged fraud
Feb 24, 2021
Covid’s financial pinch worse than the Great Recession’s, survey finds
Feb 24, 2021
2 new ESG ETFs bring small- and mid-cap stocks into focus
Feb 24, 2021
RIA managing $172 million joins Carson Partners
Feb 24, 2021
Who is your 401(k) client?
Feb 24, 2021
Bond ETFs hammered by growing inflation bets
Feb 23, 2021
Principal, MetLife assume a $1.2 billion pension obligation
Feb 23, 2021
Social Security adds new guidance to online statements
Feb 23, 2021
Navigating the blurring lines between M&A and recruiting
Feb 23, 2021
State regulators probe whether investors get money’s worth from subscription fees
Feb 23, 2021
Paychex has 1,000 clients for its PEP, company says
Feb 23, 2021
How the pandemic highlights diversity challenges in financial services
Feb 23, 2021
Morgan Stanley deal beefs up workplace offering
Feb 23, 2021
Former TD Ameritrade exec to head innovation for Fed
Feb 23, 2021
Principal launches strategic review after settlement with Elliott
Feb 23, 2021
Wells Fargo Asset Management sold to private equity for $2.1 billion
Feb 22, 2021
Five tips to overcome gender bias
Feb 22, 2021
Rockefeller nabs $450 million Merrill Lynch team
Feb 22, 2021
How Black-owned fintechs are closing the racial wealth gap
Feb 22, 2021
Mixing target-dates with other funds linked with higher savings
Feb 22, 2021
What the Biden administration might do on financial regulation
Feb 22, 2021
Apex Clearing to go public via SPAC in $4.7 billion deal
Feb 22, 2021
Where financial advisers sit on the $15 minimum wage divide
Feb 22, 2021
It's time to start your RIA's digital upgrade
Feb 22, 2021
2020 Innovator: Mark Iwry
Feb 22, 2021
2020 Innovators: Gabino Roche
Feb 22, 2021
2020 Innovator: Ed Slott
Feb 22, 2021
2020 Innovator: Deborah Fox
Feb 22, 2021
2020 Innovator: Cynthia Loh
Feb 22, 2021
2020 Innovators: Catherine Berman
Feb 22, 2021
2020 Innovator: Brian Hamburger
Feb 22, 2021
2020 Innovator: Barry Ritholtz
Feb 22, 2021
SEC obtains judgment against $4 million Ponzi schemer
Feb 22, 2021
2020 Innovator: Alan Moore
Feb 22, 2021
2020 Innovator: Aaron Klein
Feb 22, 2021
Ariel Alternatives seeks to close the racial wealth gap, plus a dive into HSAs
Feb 22, 2021
2020 Icon: Judson Bergman
Feb 22, 2021
Adviser managing $315 million at Wells Fargo goes indie with LPL
Feb 22, 2021
The Security Based Line of Credit Difference
Feb 22, 2021
Adapting advisers’ marketing to a new era
Feb 22, 2021
All things tech
Feb 22, 2021
The unquenchable thirst for wealth management
Feb 19, 2021
401(k) lawsuit update: 2 dismissals, 2 settlements
Feb 19, 2021
GameStop hearing underlines partisan divide on legislative action
Feb 19, 2021
Attracting Next Gen clients will require advisers heed three trends
Feb 19, 2021
Ex-Janney broker stole $400,000 from clients to pay gambling debt: Feds
Feb 19, 2021
Larry Kudlow joins The Bahnsen Group as an adviser
Feb 18, 2021
Advisers agree: It’s time to stop ignoring Bitcoin
Feb 18, 2021
Robinhood, Citadel CEOs spar with lawmakers over retail trading
Feb 18, 2021
Warren presses Finra to review whether forced arbitration harms Robinhood customers
Feb 18, 2021
Two FiNet teams managing $1.06 billion move to Raymond James
Feb 18, 2021
401(k) savings went up in 2020, but so did retirement worries
Feb 18, 2021
Putnam latest old-school fund firm to sell semitransparent ETFs
Feb 18, 2021
Women rely on financial advisers more than men
Feb 18, 2021
Focus Financial sees another bang-up year for RIA M&A in 2021
Feb 18, 2021
Latest gold ETF times the market so advisers don't have to
Feb 18, 2021
Massachusetts RIA managing $625 million merges into Moneta
Feb 18, 2021
How technology can help advisers talk to clients about PPP loans
Feb 18, 2021
Morningstar tweaked ratings of paying clients, SEC claims
Feb 18, 2021
‘Roaring Kitty’ sued for fraud over GameStop rise
Feb 18, 2021
Team managing $350 million makes U-turn to LPL
Feb 17, 2021
OregonSaves gets passing grade in new academic paper
Feb 17, 2021
Ariel Investments launches firm to build minority businesses
Feb 17, 2021
Brokers sold GPB private placements using the worst tactics in Wall Street's playbook
Feb 17, 2021
LPL updates branding message
Feb 17, 2021
DC industry must cooperate to offer emergency savings accounts
Feb 17, 2021
iCapital Foundation, CAIA Association launch education program
Feb 17, 2021
Robinhood’s ties to hedge funds still not clear, Warren says
Feb 17, 2021
Advisers, clients not on same page about guaranteed income: Survey
Feb 17, 2021
Fidelity, Schwab donors set record for charitable giving in response to pandemic
Feb 17, 2021
Fund companies can follow a road map to ESG success
Feb 17, 2021
AIG is seeing interest in life and retirement business
Feb 17, 2021
Charges dropped against former Franklin Templeton exec who called police on Black bird-watcher
Feb 17, 2021
Wells Fargo gets Fed nod for overhaul plan
Feb 17, 2021
Lots of choices for advisers looking to sell
Feb 17, 2021
Bitcoin exceeds $51,000 for first time
Feb 16, 2021
The latest in financial #AdviserTech — February 2021
Feb 16, 2021
Pandemic prompts brokerages to seek relaxed in-person inspection requirements
Feb 16, 2021
Meet Goldman's robo-adviser Marcus Invest — finally
Feb 16, 2021
American Funds to chop fees, change management on five VA funds
Feb 16, 2021
Power outages force advisers to leverage Covid-19 contingencies
Feb 16, 2021
OneDigital acquires manager of $1.3 billion in plan assets
Feb 16, 2021
Captrust adds $154 billion in plan assets with Cammack deal
Feb 16, 2021
Team managing $270 million at UBS moves to Baird
Feb 16, 2021
Fiduciary redux: Don't tinker with Reg BI
Feb 16, 2021
FSI advocacy priorities for 2021
Feb 16, 2021
Have You Found Investment Opportunities in the Pandemic?
Feb 15, 2021
Stalking a Social Security application decision
Feb 15, 2021
INmail: When to claim survivor benefits
Feb 15, 2021
Let’s innovate by reaching clients via mobile apps
Feb 15, 2021
Viral or vicious? Financial advice blows up on TikTok
Feb 15, 2021
Tesla’s Musk gets it wrong
Feb 15, 2021
Instagram reigns — for now
Feb 12, 2021
Surprise tax bills, credits await as IRS filing season begins
Feb 12, 2021
Rick Ferri on adviser fees, Jason Kane on class-action lawsuit against GPB Capital
Feb 12, 2021
Fidelity hosts a Reddit AMA — but Robinhood steals the show
Feb 12, 2021
MoneyLion to go public via blank-check merger in $2.9 billion deal
Feb 12, 2021
Canadian Bitcoin ETF turns up heat on U.S. fund managers, regulators
Feb 12, 2021
Bond-based public program would save retirement, Ric Edelman says
Feb 12, 2021
DOL may extend exemption allowing Deutsche to manage retirement funds
Feb 12, 2021
DOL will let Trump-era fiduciary rule stand
Feb 12, 2021
Living the 'lifestyle practice' dream
Feb 11, 2021
Reegan Rae named co-CEO at Arnerich Massena
Feb 11, 2021
Wall Street gets shorter SEC leash
Feb 11, 2021
OneDigital acquires property and casualty brokerage
Feb 11, 2021
LPL kicks off program to help advisers buy or sell practices
Feb 11, 2021
ETF TV Interview: Greg Friedman
Feb 11, 2021
Goldman Sachs sells its first ESG bonds
Feb 11, 2021
Kitces report reignites debate over advisory fees
Feb 11, 2021
SEC wants independent monitor to run GPB amid fraud charges
Feb 11, 2021
T. Rowe Price names Rob Sharps president
Feb 11, 2021
Cresset hires $500 million Goldman adviser
Feb 11, 2021
Betterment offers custom model portfolios for advisers
Feb 11, 2021
'What else am I going to do?' How COVID-19 is sending many retirees back to work
Feb 10, 2021
CFP Board schedules exam for March
Feb 10, 2021
COVID accelerates the evolution in key financial planning trends
Feb 10, 2021
SEC empowers more staff to launch investigations
Feb 10, 2021
House bill would adjust retirees' capital gains tax for inflation
Feb 10, 2021
Triad Advisors dinged $194,000 by Finra over supervision
Feb 10, 2021
GameStop fireworks are likely to bog down in a regulatory slog
Feb 10, 2021
Planners increased pro bono work 7% during pandemic
Feb 10, 2021
Tips for building a generation-resilient business
Feb 10, 2021
DOL backs off from CalSavers lawsuit, but damage may be done
Feb 09, 2021
Building a business plan? Keep it simple
Feb 09, 2021
SEC charges former Minneapolis-area RIA with $2.25 million fraud
Feb 09, 2021
Blockchange intros digital asset SMA for RIAs
Feb 09, 2021
Securities firm owner, late scammer’s trust ordered to cough up $2.7 million
Feb 09, 2021
Tesla's 401(k) generosity matches its cars' emissions: Zero
Feb 09, 2021
Schwab cuts 200 more jobs amid TD Ameritrade acquisition
Feb 09, 2021
UBS nabs J.P. Morgan Private Bank team managing $6.5 billion
Feb 09, 2021
First Allied team managing $130 million forms own RIA
Feb 09, 2021
GameStop lawsuits allege 'conspiracy' bigger than Robinhood
Feb 09, 2021
Here’s why we’re hosting an in-person conference in 2021
Feb 08, 2021
Bond returns have 60/40 managers turning to FX
Feb 08, 2021
The GameStop lawsuits are missing the point
Feb 08, 2021
How RPAs can decommoditize their 401(k) services
Feb 08, 2021
SEC charges repeat scammer with investment fraud
Feb 08, 2021
RIAs led in a year of recruiting slowed by the pandemic
Feb 08, 2021
RIAs leverage TAMP tech the most: Report
Feb 08, 2021
Finra arbitrators order J.P. Morgan, former brokers to pay $19 million
Feb 08, 2021
Cetera plans to offer retention bonuses to 900 Voya advisers
Feb 08, 2021
Women’s retirement plans torpedoed by COVID
Feb 08, 2021
'Moneymaking and money losing.' Amid fallout from Robinhood, GameStop and Reddit, what will regulators do?
Feb 08, 2021
SEC's new marketing rules mean transformative change for advisory firms
Feb 08, 2021
ESG credentials in demand by pension funds
Feb 08, 2021
Cetera to buy Voya Financial Advisors' broker-dealer reps and assets
Feb 08, 2021
Talent fight erupts as Wells Fargo exits foreign wealth business
Feb 08, 2021
Elevating wealth for women
Feb 08, 2021
Welcoming the return of industry conferences
Feb 08, 2021
Introducing the 2021 Icons & Innovators
Feb 08, 2021
What it means to be iconic
Feb 06, 2021
Leaders need new skills to support their diverse workforce
Feb 06, 2021
An interview with Commonwealth's first chief diversity officer
Feb 06, 2021
Three principles for inclusive leadership
Feb 05, 2021
FSI opposes union organizing bill because of potential effect on advisers
Feb 05, 2021
LPL hanging onto Waddell & Reed advisers and assets
Feb 05, 2021
Raymond James scores a big win at the Super Bowl
Feb 05, 2021
HSAs cut into 401(k) contributions: Report
Feb 05, 2021
Politics and stock surges: Investment experts weigh in
Feb 05, 2021
Two-thirds of Americans sat tight financially during pandemic
Feb 05, 2021
As markets get frothier, advisers migrate toward alternatives
Feb 05, 2021
Increasing diversity increases diversity of thought
Feb 05, 2021
Cryptocurrency hedge fund founder admits to massive fraud
Feb 04, 2021
There are still 16 meme stocks with at least 100% gains in 2021
Feb 04, 2021
Who runs the world? Women – almost!
Feb 04, 2021
Another MEP targeted in 401(k) litigation, health care system sued
Feb 04, 2021
Massachusetts fines RBC $200,000 over failure to supervise
Feb 04, 2021
New York slaps AIG with $12 million penalty over pension risk transfers
Feb 04, 2021
Creative Planning doubles retirement plan assets with $6 billion deal
Feb 04, 2021
SEC, Feds charge senior GPB executives with fraud
Feb 04, 2021
Northern Trust accounts for ESG factors now in the spotlight
Feb 03, 2021
Millennials still lag in wealth accumulation, study finds
Feb 03, 2021
InvestCloud aims to be the Amazon of wealthtech with Tegra118 merger
Feb 03, 2021
Whistleblowers' big bucks come with big risks for financial advisers
Feb 03, 2021
Unclaimed retirement accounts a big problem for most states
Feb 03, 2021
BDC sales tank in 2020 after product performs poorly
Feb 03, 2021
DeNoyior named head of Hub’s wealth management business
Feb 03, 2021
What clients won’t see on this year’s 1099-R form
Feb 03, 2021
Franklin Templeton’s managed account product could be future for DCIOs
Feb 03, 2021
Novice investors flocked to market during pandemic, study finds
Feb 03, 2021
Yellen summons regulators to discuss market volatility
Feb 03, 2021
Captrust acquires $3.13 billion wealth management firm
Feb 02, 2021
Warren asks Robinhood to explain trading restrictions
Feb 02, 2021
Financial Services Institute defends Reg BI under new administration
Feb 02, 2021
InvestCloud recapitalization values firm at $1 billion
Feb 02, 2021
Team managing $1.35 billion at Merrill Lynch moves to Stifel
Feb 02, 2021
NextCapital gets managed-accounts deal with Prudential
Feb 02, 2021
3 myths preventing advisers from going from wirehouse to independence
Feb 02, 2021
Communicating for the good of your clients
Feb 02, 2021
InvestmentNews wins award for Women Adviser Summit
Feb 02, 2021
How technology is shaping new asset management products
Feb 01, 2021
Finra zeroes in on online brokerage apps
Feb 01, 2021
Fintechs push Bitcoin trading onward and upward: Fidelity
Feb 01, 2021
CFP Board forms commission to strengthen sanction guidelines
Feb 01, 2021
Virginia presses on with auto-IRA bill
Feb 01, 2021
In first, B-D that sold GPB private placements loses arbitration
Feb 01, 2021
INmail: Social Security rules for divorced spouses
Feb 01, 2021
Emotions are information
Feb 01, 2021
Trio managing $375 million at Merrill Lynch goes indie with Raymond James
Feb 01, 2021
NFP acquires retirement consultant
Feb 01, 2021
Wells Fargo trims CEO Scharf's pay to $20.3 million in 2020
Feb 01, 2021
Beware: Enrolling in Medicare can nix contributing to an HSA
Feb 01, 2021
No excuse not to find missing plan participants
Feb 01, 2021
The mystery of the market
Feb 01, 2021
HSAs, an adviser favorite, just don't get much love
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