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Site Map for April 2021
Date
Title
Apr 30, 2021
Lowe's settles 401(k) suit, another university targeted
Apr 30, 2021
LPL adds 385 advisers in record-setting first quarter
Apr 30, 2021
UBS trio managing $560 million moves to Rockefeller
Apr 30, 2021
RIA Digital Assets Council launches certificate in blockchain, Bitcoin
Apr 30, 2021
Senate bill would allow 401(k) match for student loan payments
Apr 30, 2021
The Triple Crown tax benefits of 2021 Roth conversions
Apr 29, 2021
Helping a client work through indecision
Apr 29, 2021
Political reality is likely to curb, not stop, Biden's proposed tax increases
Apr 29, 2021
Raymond James' recruiting reboot is working: Reilly
Apr 29, 2021
New York court shoots down state's annuity best-interest rule
Apr 29, 2021
RBC adds Merrill trio managing $2 billion
Apr 29, 2021
President Biden's first 100 days: Poll
Apr 29, 2021
OneDigital acquires $240 million retirement plan manager
Apr 29, 2021
How to be a trusted adviser
Apr 29, 2021
Biden offers a unity vision with rich paying ‘fair share’
Apr 28, 2021
SEC punts decision on Bitcoin ETFs to at least June
Apr 28, 2021
SEC enforcement chief Alex Oh resigns just days after taking job
Apr 28, 2021
New investors strain online brokerages: J.D. Power
Apr 28, 2021
How the 401(k) industry can help attract young advisers
Apr 28, 2021
Fidelity opens securities lending platform to all comers
Apr 28, 2021
OSJ with $2 billion switches to Cadaret Grant from Securities America
Apr 28, 2021
UBS adviser managing $215 million goes indie with LPL
Apr 28, 2021
Bitcoin in annuities? Several insurers are working on it
Apr 28, 2021
Value investor Charles de Vaulx found dead
Apr 28, 2021
Structured note platform adds annuities
Apr 28, 2021
SEC charges barred broker in IPO scam
Apr 28, 2021
Weighing in on disputed language in IRS 10-year RMD rule
Apr 28, 2021
The ‘adviser in your pocket’ experience: The future of client service
Apr 28, 2021
Empower launches finances website for participants
Apr 27, 2021
Pandemic's impact on Social Security services, funding
Apr 27, 2021
To raise your valuation, simplify your business
Apr 27, 2021
Robinhood is snapping up financial advisers. Here's why.
Apr 27, 2021
Finra suspension of in-person arb hearings harms investors, PIABA says
Apr 27, 2021
Rising inflation? No problem for fans of emergency cash
Apr 27, 2021
UBS ropes in new fee-generating assets in Q1
Apr 27, 2021
Tips for earning continuing education credits in a virtual environment
Apr 27, 2021
Ultra-rich fear Biden will close their favorite tax loopholes
Apr 27, 2021
UBS announces surprise $861 million Archegos hit
Apr 27, 2021
Creative Planning acquires $320 million RIA
Apr 27, 2021
Is Inflation Around the Corner?
Apr 26, 2021
Stone Point, GIC near $3B deal for Ascensus
Apr 26, 2021
JPMorgan preparing to offer Bitcoin fund to wealthy clients
Apr 26, 2021
Orion adds trio of execs to C suite
Apr 26, 2021
Eileen Sharkey remembered as legendary financial planning pioneer
Apr 26, 2021
Why Wells Fargo is adding the eMoney planning tool for its advisers
Apr 26, 2021
House bill seeks to open 403(b) plans to CITs
Apr 26, 2021
Top independent broker-dealers 2021
Apr 26, 2021
Pershing expands fee-based annuity offerings for RIAs
Apr 26, 2021
Many plan borrowers took more than they needed, survey finds
Apr 26, 2021
3 ways APIs are changing your wealthtech tools
Apr 26, 2021
Ohio National fends off VA trail commission suit, others remain
Apr 26, 2021
Annual IBD Report Card and an Earth Day check-in on ESG
Apr 26, 2021
Biden's tax plan collides with GOP, SALT rebels
Apr 26, 2021
The more personal post-Covid client-adviser conversations
Apr 26, 2021
Archegos is a wake-up call for family offices
Apr 26, 2021
Much ado about RIAs in May
Apr 26, 2021
In face of pandemic, IBDs proved resilient in 2020
Apr 23, 2021
Financial literacy resources
Apr 23, 2021
Wall Street's ESG club sees huge tax perks
Apr 23, 2021
Principal, Salesforce prevail in 401(k) lawsuits
Apr 23, 2021
Wealthfront, Betterment, SoFi expand offerings
Apr 23, 2021
State-registered investment advisers hold steady at more than 17,000
Apr 23, 2021
Biden tax proposal draws ire from financial advisers
Apr 23, 2021
Sara Devereux to head fixed income at Vanguard
Apr 23, 2021
Cetera forms diversity and inclusion council
Apr 22, 2021
Biden eyeing capital gains tax rate as high as 43.4% for wealthy
Apr 22, 2021
Biden pledges US will halve greenhouse gases
Apr 22, 2021
Gensler taps Alex Oh as SEC enforcement chief
Apr 22, 2021
OneDigital continues acquisition tear with purchase of $6B plan adviser
Apr 22, 2021
Retirement confidence resilient despite pandemic
Apr 22, 2021
Ancora outsiders lose fight for seats on Blucora board
Apr 22, 2021
Trio managing $550 million at Merrill moves to RBC
Apr 22, 2021
SEC to examine fund disclosure rules after Archegos
Apr 22, 2021
SEC obtains final judgment against Connecticut RIA
Apr 22, 2021
Keeping ESG investment performance in perspective
Apr 22, 2021
How do you know if it’s time to break away from the wirehouse?
Apr 21, 2021
Lawmakers renew push to increase SIMPLE plan contributions
Apr 21, 2021
House panel approves ESG, diversity bills without GOP support
Apr 21, 2021
Vetting annuities for 401(k)s not an easy task
Apr 21, 2021
In Advisor Group lawsuit, the right hand is suing the left
Apr 21, 2021
Wells Fargo FiNet adviser managing $400 million joins LPL
Apr 21, 2021
Citi expects $1 trillion boom in ESG ETFs
Apr 20, 2021
Potential Pru Retirement sale a cautionary tale of a 401(k) innovator
Apr 20, 2021
Morgan Stanley sells ETrade's custody business in $55 million deal
Apr 20, 2021
DOL arms investors with rollover questions that could catch some advisers off guard
Apr 20, 2021
Investor advocate urges Gensler to beef up Reg BI
Apr 20, 2021
AdvisorEngine finalizes integration with Schwab
Apr 20, 2021
RIA consolidation returns to pre-Covid levels
Apr 20, 2021
Beacon Pointe acquires $230 million Texas RIA
Apr 20, 2021
Finra bars former Goldman analyst for insider trading
Apr 20, 2021
Sequoia Financial to acquire $1.4 billion Wealthstone Advisors
Apr 20, 2021
Banks hone in on wealthy clients
Apr 19, 2021
Walmart isn’t after your book of business
Apr 19, 2021
Many affluent retirees reluctant to draw down savings
Apr 19, 2021
Shared emergency accounts could hint at higher savings
Apr 19, 2021
Climate-risk disclosure bill faces tough legislative path
Apr 19, 2021
Fight over board that controls Avantax coming to a head
Apr 19, 2021
Customer service: The most boring, and important, aspect of your firm
Apr 19, 2021
Duo managing $1.35 billion at Merrill Lynch moves to Janney
Apr 19, 2021
OSJ managing $550 million switches to LPL from Royal Alliance
Apr 19, 2021
Risky business! Impacts of rogue brokers on firms and Amy Domini talks ESG
Apr 19, 2021
Providing the building blocks of financial literacy training
Apr 19, 2021
The latest in financial #AdviserTech — April 2021
Apr 19, 2021
What's behind Bitcoin's tumble?
Apr 19, 2021
Time to learn about crypto
Apr 19, 2021
What sparked today's love of ESG?
Apr 19, 2021
Virtual internship > traditional internship
Apr 16, 2021
Michigan duo managing $350 million at Merrill joins Rockefeller
Apr 16, 2021
Bills to end mandatory arbitration introduced in House, Senate
Apr 16, 2021
Betterment account openings skyrocket 116% in first quarter
Apr 16, 2021
Morgan Stanley targets $10 trillion in AUM: Gorman
Apr 16, 2021
SEC partially settles fraud charges against co-founder of RIA
Apr 16, 2021
Facet Wealth subscription model poses threat to asset-based fees
Apr 16, 2021
David Booth of DFA is taking a value victory lap
Apr 16, 2021
How the end of Libor might affect your clients
Apr 15, 2021
Robinhood sues to overturn Massachusetts fiduciary rule
Apr 15, 2021
Why virtual internships are here to stay
Apr 15, 2021
Team managing $400 million at Truist moves to D.A. Davidson
Apr 15, 2021
Pro bono opportunities, need rise during pandemic
Apr 15, 2021
Republican opposition to Gensler not likely to slow the new SEC chairman
Apr 15, 2021
Top 3 ways to attract millennials: J.D. Power
Apr 15, 2021
CFB Board says July CFP exam can be taken remotely
Apr 15, 2021
Hub acquires assets of $1.6 billion retirement firm
Apr 15, 2021
Merrill Lynch client balances climb 31% year over year
Apr 15, 2021
How to help clients plan for health care costs in retirement
Apr 14, 2021
Election-reform debate poses risks for companies that weigh in on legislation
Apr 14, 2021
Coinbase goes public: Why it matters to advisers
Apr 14, 2021
Goldman Sachs keeps cryptocurrency focus on institutional investors
Apr 14, 2021
PE fund targets diversity, governance at small companies
Apr 14, 2021
Gensler confirmed as SEC head
Apr 14, 2021
Wells Fargo adviser head count slips 8% year over year
Apr 14, 2021
Indie adviser managing $800 million moves to LPL from Kestra
Apr 14, 2021
Bernie Madoff, mastermind of giant Ponzi scheme, dies at 82
Apr 14, 2021
Adviser managing $500 million at Wells Fargo joins RIA
Apr 14, 2021
Bitcoin ETF line gets longer; eight issuers file with SEC
Apr 14, 2021
Prudential weighs sale of its retirement arm
Apr 14, 2021
Are you aware of the expanded opportunity set for investors created by the pandemic?
Apr 13, 2021
DOL releases guidance on Trump-era fiduciary rule
Apr 13, 2021
Snappy Kraken raises $6 million
Apr 13, 2021
Schwab accidentally puts $1.2 million into woman’s account
Apr 13, 2021
SEC will not assess merit of ESG investments: Peirce
Apr 13, 2021
Luma partners with Cannex to offer annuity data tool
Apr 13, 2021
Allworth Financial acquires $340 million RIA
Apr 13, 2021
Hybrid team managing $340 million joins Cetera from LPL
Apr 13, 2021
Competing on customization: Fintech's future in retirement planning
Apr 13, 2021
Diminished capacity creates new investment risk
Apr 13, 2021
How yoga can help improve retirement plans
Apr 13, 2021
PlanMember Financial and Newport Group launch PEP
Apr 12, 2021
Should you raise your fees?
Apr 12, 2021
IRS: SECURE Act’s 10-year RMD rule is not what you thought
Apr 12, 2021
Trillium seeks out leaders in carbon constrained economy
Apr 12, 2021
The BLX Internship Program
Apr 12, 2021
Addressing the financial literacy crisis facing women in America
Apr 12, 2021
Fund manager finds way around capital gains distributions
Apr 12, 2021
Fintech apps that strive for good
Apr 12, 2021
SEC warns advisers about shortcomings in ESG compliance
Apr 12, 2021
Cryptocurrency nears adviser tipping point as players pile in
Apr 12, 2021
Advisers are missing the boat on ESG: Cerulli
Apr 12, 2021
Merrill Lynch team managing $650 million joins LPL
Apr 12, 2021
Pooled employer plans
Apr 12, 2021
Coping with a difficult year: How your expert advice can change a life
Apr 12, 2021
Mana Money School spreads the wealth
Apr 12, 2021
Ameriprise to buy BMO asset management unit
Apr 12, 2021
Preparing for higher taxes
Apr 12, 2021
Celebrating financial literacy efforts
Apr 12, 2021
GameStop’s saga: What the stock surge proves about financial (il)literacy
Apr 09, 2021
Stifel CEO says life after Covid means return to the office
Apr 09, 2021
How 403bwise.org provides financial education to K-12 employees
Apr 09, 2021
Columbia, IBM settle 401(k) lawsuits
Apr 09, 2021
Are 60-40 portfolios leading investors over a cliff?
Apr 09, 2021
Bitcoin specialist NYDIG raises $100 million
Apr 09, 2021
BlackRock has record ETF launch with carbon transition fund
Apr 09, 2021
Advisers managing $686 million affiliate with Raymond James
Apr 09, 2021
What the pandemic taught us about helping clients navigate shocks
Apr 09, 2021
What investors should know about the sustainability revolution
Apr 08, 2021
SEC to Wall Street: SPACs aren’t a way around securities laws
Apr 08, 2021
Goldman secrecy on harassment claims faces challenge
Apr 08, 2021
INmail: Delaying Social Security protects the younger spouse
Apr 08, 2021
Envestnet acquires fintech Harvest Savings
Apr 08, 2021
Archegos implosion could lead to family-office regulation
Apr 08, 2021
UBS loses $371,000 claim linked to options strategy
Apr 08, 2021
Biden tax talk seen driving RIA M&A activity
Apr 08, 2021
Schwab files for first actively managed ETF
Apr 08, 2021
European company to buy South Dakota trust company
Apr 08, 2021
Hub acquires Plan Sponsor Consultants
Apr 08, 2021
Why POS systems are a good investment
Apr 07, 2021
Why the 'one bad broker' rule matters
Apr 07, 2021
Reform needed to improve teachers’ retirement plans
Apr 07, 2021
States picking up annuity best-interest standard
Apr 07, 2021
FSI to offer lower-cost health insurance plan to members
Apr 07, 2021
Wall Street sidesteps Georgia election reform debate
Apr 07, 2021
AdvicePay launches tool for enterprise oversight
Apr 07, 2021
Ex-GPB executive gets 9-month sentence
Apr 07, 2021
Fidelity plans to hire 4,000, including 1,000 licensed reps
Apr 07, 2021
Bond vigilante calls out credit investors on climate
Apr 07, 2021
Yankees great Derek Jeter joins board of Rockefeller Capital Management
Apr 07, 2021
Group advising on $470 million switches from Triad to Arkadios
Apr 07, 2021
Team with $583 million joins SagePoint from Kestra
Apr 07, 2021
Discover what your clients want with a survey
Apr 07, 2021
Morgan Stanley exited part of Archegos holdings before most rivals
Apr 06, 2021
Third of near-retirees fail basic Social Security quiz
Apr 06, 2021
Well-run advisory firms come in all sizes
Apr 06, 2021
Robinhood drops the confetti, but advisers aren't convinced
Apr 06, 2021
Altering 401(k) allocations sacrificed returns in 2020: Morningstar
Apr 06, 2021
Investments becoming a bigger chunk of HSA assets
Apr 06, 2021
Women clients twice as likely as men to favor ESG
Apr 06, 2021
Duo managing $200 million at Wells Fargo joins Baird
Apr 06, 2021
Grayscale ‘committed’ to making biggest crypto fund an ETF
Apr 06, 2021
BlackRock plans racial audit, in break with Wall Street peers
Apr 06, 2021
Alerting clients to dark patterns and sludge
Apr 06, 2021
4 life insurance and retirement trends to watch
Apr 05, 2021
Why Michael Bolton is crooning over online brokerages
Apr 05, 2021
Fintechs partner up to give advisers access to crypto tools
Apr 05, 2021
Advisers plan more annuity recommendations amid the pandemic
Apr 05, 2021
Purshe Kaplan racks up $1.6 million settlement
Apr 05, 2021
ETFs see record inflows of $250 billion in first quarter
Apr 05, 2021
The benefits of equal-weight index funds and Financial Gym puts a new spin on financial planning
Apr 05, 2021
Wealth management needs more female advisers
Apr 02, 2021
Fidelity dismissed from lawsuit over 401(k) participant data
Apr 02, 2021
Morningstar analyst ratings hit another speed bump
Apr 02, 2021
Meet the first crypto robo-adviser Makara
Apr 02, 2021
Archegos shows need to monitor family offices: Regulator
Apr 02, 2021
UBS team managing $630 million moves to Rockefeller
Apr 02, 2021
Regulatory ambiguity helps keep the industry in compliance
Apr 01, 2021
Biden tax hikes dominate adviser-client discussions
Apr 01, 2021
For RPAs thinking about selling, there may be no time like the present
Apr 01, 2021
Goldman Sachs is getting into Bitcoin — who’s next?
Apr 01, 2021
Switching firms can cost advisers 19% of assets: Cerulli
Apr 01, 2021
SageView buys retirement plan practice of Oregon firm
Apr 01, 2021
Latest levered ETFs offer triple market performance — with a catch
Apr 01, 2021
How to stay focused, and why we lose focus
Apr 01, 2021
Captrust acquires RIA managing $700 million
Apr 01, 2021
Foes of SALT cap threaten Biden tax plan
Apr 01, 2021
The changing preferences of next-gen clients: Planning
Apr 01, 2021
Beacon Pointe acquires Texas-based Wealthstreet
Apr 01, 2021
Trends in high-performing financial adviser teams
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