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Site Map for June 2021
Date
Title
Jun 30, 2021
Citigroup says flexible work gives it edge over rivals
Jun 30, 2021
$300 million Waddell & Reed team joins Raymond James
Jun 30, 2021
Assets in 529 plans now more concentrated among several firms
Jun 30, 2021
Prep for ransomware attacks or be ready to pay the price
Jun 30, 2021
Robinhood to pay record $70 million in Finra settlement
Jun 30, 2021
Federal government’s retirement plan to add ESG funds
Jun 30, 2021
Cetera fined $125,000 over privacy issues
Jun 30, 2021
Kestra hires Kara Murphy as CIO
Jun 30, 2021
How the 401(k) world will adapt as it wakes up after long pandemic
Jun 30, 2021
Private equity fights to keep tax break
Jun 30, 2021
Covid raises awareness, concerns about Social Security
Jun 29, 2021
Getting through to confused or fearful clients
Jun 29, 2021
Three more states adopt annuity suitability rules
Jun 29, 2021
SEC names N.J. Attorney General to head enforcement
Jun 29, 2021
Newcomer Benetic promises 401(k) quotes for advisers in minutes
Jun 29, 2021
J.P. Morgan acquisition of OpenInvest gives wealth managers another ESG tool
Jun 29, 2021
Finra should review Form U4 to help industry diversity: Robinhood
Jun 29, 2021
SEC disclosure plan sets up clash with Amazon and others
Jun 29, 2021
7 ways crises changed our understanding of fiduciary
Jun 28, 2021
Principal to halt sales of retail fixed annuities, consumer life insurance
Jun 28, 2021
Biden wants to dismantle two tax strategies used by richest 0.1%
Jun 28, 2021
Britney Spears' fight for financial freedom holds lessons for advisers
Jun 28, 2021
Potential in PEPs helps Smart secure $228 million in new funding
Jun 28, 2021
Liz Windisch targets the financial needs of Gen X women
Jun 28, 2021
Digital record keepers are changing the micro 401(k) market
Jun 28, 2021
Halo adds AIG annuities
Jun 28, 2021
Larger RIA firms growing fastest, IAA finds
Jun 28, 2021
Inside Dave Ramsey's shop and Sonya Dreizler on how industry conferences can help diversity
Jun 28, 2021
Want to be a fiduciary financial planner?
Jun 28, 2021
Advisers wary of bill putting timeframe on giving from donor-advised funds
Jun 28, 2021
Wells Fargo duo managing $580 million joins LPL
Jun 28, 2021
CI Financial buys 19th U.S. RIA in 18 months
Jun 28, 2021
UBS will let two-thirds of employees adopt permanent hybrid work
Jun 25, 2021
Robinhood's IPO plans slowed by SEC review
Jun 25, 2021
Covid highlights need for long-term care planning
Jun 25, 2021
Plaintiffs accept $5.4 million Transamerica 401(k) settlement
Jun 25, 2021
Winklevoss cryptocurrency exchange buys $4 million in carbon credits
Jun 25, 2021
Lori Hardwick steps down as Riskalyze chairman
Jun 25, 2021
Finra records $19.8 million profit in 2020
Jun 25, 2021
State IRA programs ignite a new market for small 401(k) providers
Jun 25, 2021
Funds and financial services firms need ESG strategies
Jun 25, 2021
Customers to banks: We don't want your advice, but we'll take it
Jun 25, 2021
Day trading frenzy to continue after the pandemic: Survey
Jun 25, 2021
LaSalle St. adds $200 million hybrid
Jun 25, 2021
Federal retirement plan should consider climate change: GAO
Jun 25, 2021
Merrill Lynch hit with $11.65 million penalty by Finra
Jun 25, 2021
BlackRock ETFs see massive inflows hinting at tax avoidance
Jun 25, 2021
Wider Net, Smaller Portfolio: How Sandhill is Adding Value
Jun 24, 2021
Stay ahead of ESG regulatory changes
Jun 24, 2021
Teenagers are trading stocks on their own. Should they?
Jun 24, 2021
Citigroup joins rivals and helps wealthy clients access crypto
Jun 24, 2021
Culture, client communication help determine firm value
Jun 24, 2021
Investors not interested in cryptocurrency in retirement plans
Jun 24, 2021
Rollovers up in 2020, even as 401(k)s try to retain assets
Jun 24, 2021
‘Be prepared for a new way of thinking’: MIT’s Coughlin
Jun 24, 2021
LPL snags $1.6 billion team, this time from Voya
Jun 24, 2021
Merrill Lynch duo managing $211 million moves to Stifel
Jun 24, 2021
Latest thematic ETF homes in on cleaner living
Jun 24, 2021
SmartAsset raises $110 million in Series D funding
Jun 24, 2021
How to make risk management work for advisers
Jun 24, 2021
The latest in financial #AdviserTech — June 2021
Jun 24, 2021
More than half of Americans say they are in financial recovery mode
Jun 23, 2021
Pandemic led men to be more charitable, survey finds
Jun 23, 2021
Diversity could propel the 401(k) industry into its next phase of innovation
Jun 23, 2021
Latest blow to 60/40 model is exodus of mom and pop investors
Jun 23, 2021
What it takes to get more women working in financial services
Jun 23, 2021
SECURE 2.0 hearing shows fissure in retirement policy
Jun 23, 2021
Merrill team managing $842 million bolts to Raymond James
Jun 23, 2021
Market outlook 'as good as it gets': Rockefeller CEO Greg Fleming
Jun 23, 2021
Mercer Advisors acquires $240 million RIA
Jun 23, 2021
Schwab rolls out digital onboarding for its RIA customers
Jun 23, 2021
Stash to acquire PayGrade, surpasses $3 billion AUM
Jun 23, 2021
Decumulation in an evolving interest-rate environment
Jun 23, 2021
Morgan Stanley to require vaccinations to enter New York offices
Jun 23, 2021
M&T Bank renames its retail securities operation
Jun 22, 2021
Fiduciary backers seek 'highest legal standard' in Form CRS disclosures
Jun 22, 2021
Father and son team build out niche financial planning for family physicians
Jun 22, 2021
Bitcoin rebounds after dropping below $30,000
Jun 22, 2021
Focus Financial evolves beyond PE ownership
Jun 22, 2021
GPB lawsuits pile up against former broker
Jun 22, 2021
Advisers' independent contractor status must be protected at the federal level
Jun 22, 2021
5 ways to win clients’ trust
Jun 22, 2021
Wells Fargo team managing $800M joins Snowden Lane
Jun 22, 2021
Betterment rolls out a prepackaged tech stack for RIAs
Jun 21, 2021
Banks' robust capital mitigates risks, regulators tell Biden
Jun 21, 2021
Maine legislature passes auto IRA bill
Jun 21, 2021
Supreme Court's Goldman decision declared a win by investor advocates
Jun 21, 2021
Gen Xers are most likely to buy annuities: Survey
Jun 21, 2021
Team managing $1.3 billion at Wells Fargo goes indie with LPL
Jun 21, 2021
Berthel Fischer sees sharp decline in commissions, turns to building RIA
Jun 21, 2021
Orion adds behavioral finance to its adviser tech
Jun 21, 2021
Investors flock to municipal bonds for yield and shelter
Jun 21, 2021
Former Morgan Stanley traders turn crypto startup into unicorn
Jun 21, 2021
Supreme Court gives Goldman chance to end shareholder suit
Jun 21, 2021
Bruce wins a Neal award! Mindy Diamond talks adviser movement, compensation and diversity
Jun 21, 2021
A tireless retirement team
Jun 21, 2021
There’s no room for crypto in employee 401(k) plans
Jun 21, 2021
How high can RIA valuations go?
Jun 18, 2021
Rhode Island enacts financial literacy legislation
Jun 18, 2021
ESG funds in Europe hit record $1.4 trillion in 2020
Jun 18, 2021
ESG getting nods from institutions. Why does it lag in 403(b)s?
Jun 18, 2021
Insurance-focused B-D received $550,400 PPP loan last year
Jun 18, 2021
Climate change fight is adding to global inflation scare
Jun 18, 2021
U.S. sues to block Aon’s $30 billion Willis Towers deal
Jun 18, 2021
First state to require divestment of fossil fuels
Jun 18, 2021
Looking through the eyes of another
Jun 18, 2021
Bank of America makes Juneteenth a holiday, joining JPMorgan, Wells Fargo
Jun 18, 2021
How one adviser came to specialize in serving divorced women
Jun 18, 2021
Team managing $1 billion at Wells Fargo goes to RBC
Jun 18, 2021
SEC charges Miami adviser, firm with cherry-picking
Jun 17, 2021
Prudential Retirement's head of sales leaving for OneAmerica
Jun 17, 2021
New York IARs register with state for first time
Jun 17, 2021
Mutual fund-to-ETF bonanza may be getting started
Jun 17, 2021
Sigma Financial faces $4.5 million in investor claims
Jun 17, 2021
Focus Financial borrows $800 million in push to acquire more RIAs
Jun 17, 2021
MassMutual reps managing $400 million switch to LPL
Jun 17, 2021
Outstanding Practices: RBC Wealth Management – U.S.
Jun 17, 2021
JPMorgan Chase to buy UK robo-adviser Nutmeg
Jun 16, 2021
SEC delays ruling on Bitcoin ETF
Jun 16, 2021
House approves legislation requiring ESG disclosures
Jun 16, 2021
Bitwise to double staff after $70 million funding
Jun 16, 2021
Fed sees two rate hikes by end of 2023
Jun 16, 2021
DC industry must cooperate to resolve forgotten-accounts problem
Jun 16, 2021
Ever hear of a ‘lay fiduciary’? There are 17.5 million of them
Jun 16, 2021
Crown Capital prepares for $1.38 million SEC penalty
Jun 16, 2021
The flip side to auto 401(k) design: Forgotten accounts
Jun 16, 2021
Hightower lands conditional approval for national trust charter
Jun 16, 2021
Women dissatisfied with retirement industry’s work-life balance
Jun 16, 2021
Goldman Sachs enters custody business with Steward Partners as first client
Jun 16, 2021
Decentralizing proxy power
Jun 16, 2021
3 ways to start conversations with prospects
Jun 16, 2021
Beware the sleight of hand in ProPublica's pitch to tax the wealthy
Jun 16, 2021
Advising widows: Tips to serve clients at a sensitive time
Jun 15, 2021
Crypto fund manager completes $70M Series B funding
Jun 15, 2021
Onramp Invest wants to offer crypto debit cards to clients
Jun 15, 2021
Bipartisan majority likes ‘Retirecare,’ survey finds
Jun 15, 2021
Billion-dollar UBS team in Chicago suburbs goes indie
Jun 15, 2021
SEC receives more than 300 comment letters on ESG disclosures
Jun 15, 2021
Is your 401(k) ESG? There’s a certificate for that
Jun 15, 2021
Merrill Lynch, Morgan Stanley top execs say recruiting changes worked
Jun 15, 2021
Texas plans to ban firms that cut out oil and gas sectors
Jun 15, 2021
Addepar latest funding propels its $2.17 billion valuation
Jun 15, 2021
Social engagement through the pandemic: What we learned
Jun 15, 2021
From Marines to Wall Street, this veteran defied the odds
Jun 15, 2021
Should the Fed be buying into the digital currency craze?
Jun 14, 2021
Carson Group partners with insurance marketing firm
Jun 14, 2021
DOL seeks to define ‘fiduciary’; SEC works on ESG disclosures
Jun 14, 2021
Principal shuts down RobustWealth for advisers
Jun 14, 2021
SEC names new leader for unit that reviews SPACS, climate rules
Jun 14, 2021
Free Fidelity funds are flying off the shelves
Jun 14, 2021
LPL signs on $36 billion insurance company B-D as clearing client
Jun 14, 2021
Going long with Michael Kitces and Ben Harrison
Jun 14, 2021
Rethinking retirement in the wake of the pandemic
Jun 14, 2021
How to groom young talent
Jun 14, 2021
Why it’s important to question the consensus
Jun 14, 2021
Worry, but don't worry too much about inflation
Jun 11, 2021
Duo managing $315 million at Wells moves to Raymond James
Jun 11, 2021
SEC drills into dentist-turned-adviser for three frauds
Jun 11, 2021
State Street creates digital finance unit to support crypto assets
Jun 11, 2021
Russell, Wake Forest, Generac targeted in lawsuits
Jun 11, 2021
ProPublica report stokes debate on wealthy paying fair share in taxes
Jun 11, 2021
Invesco bets on $18B in BlackRock assets being up for grabs
Jun 11, 2021
Morgan Stanley brings in ETrade executives
Jun 11, 2021
Roth conversions may not pay off until age 90 for most
Jun 11, 2021
How low interest rates may affect your clients
Jun 10, 2021
$900 million Macro Consulting Group acquired
Jun 10, 2021
How top advisers use tech to grow assets: Michael Kitces, Ram Nagappan
Jun 10, 2021
Midyear checkup on required minimum distributions
Jun 10, 2021
Large LPL branch adds Raymond James as another choice
Jun 10, 2021
Warren calls on Congress to tackle crypto 'threats' head-on
Jun 10, 2021
Duo managing $975 million at Truist moves to Raymond James
Jun 10, 2021
Black and Hispanic Americans still least prepared for retirement
Jun 10, 2021
Northwestern Mutual team managing $420 million joins LPL
Jun 10, 2021
InvestmentNews wins prestigious Neal Award for business journalism
Jun 09, 2021
Invesco plans crypto-linked ETFs as way to get around SEC
Jun 09, 2021
SEC chairman proposes review of stock trading rules
Jun 09, 2021
How charitable donations can replace the stretch IRA
Jun 09, 2021
FSI vows to monitor Reg BI ‘regulation by enforcement’
Jun 09, 2021
Mandatory ESG disclosures are a political inevitability
Jun 09, 2021
Why ETF track records are becoming an afterthought
Jun 09, 2021
New York state advances auto IRA bill
Jun 09, 2021
Pritzker takes minority stake in Steward Partners
Jun 09, 2021
Interactive Brokers to offer crypto trading
Jun 09, 2021
Mining specific business sectors for clients
Jun 09, 2021
Duo managing $155M go indie with LPL
Jun 09, 2021
Critical lessons from Columbia University's 403(b) settlement
Jun 09, 2021
Younger insurance buyers regret Covid panic purchases
Jun 09, 2021
Captrust adds $873 million Georgia RIA
Jun 09, 2021
3 Social Security do-over options
Jun 08, 2021
401(k) provider adds brokerage-window-style access to crypto
Jun 08, 2021
Pershing Insite 2021 kicks off with practice management lessons
Jun 08, 2021
Pershing to offer managed accounts platform to all
Jun 08, 2021
Online brokers avoid troubles amid internet outages
Jun 08, 2021
Ex-Cetera broker sentenced to 5 years in prison for fraud
Jun 08, 2021
Schwab-TD integration on track with more layoffs expected: Bernie Clark
Jun 07, 2021
It’s time to add emergency savings to work benefits
Jun 07, 2021
Answering questions about going RIA
Jun 07, 2021
As RIAs evolve, C-suite specialization begins to emerge
Jun 07, 2021
Ric Edelman stepping down from current role at Edelman Financial Engines
Jun 07, 2021
FPA launches second virtual externship program
Jun 07, 2021
Olympian Apolo Ohno joins Personal Capital wellness campaign
Jun 07, 2021
Plans, savers more aware of retirement income, but will demand follow?
Jun 07, 2021
Finra proposes annual regulatory education
Jun 07, 2021
Aon to sell U.S. retirement business
Jun 07, 2021
Is the Carson Group worth $1 billion?
Jun 07, 2021
Blanchett leaves Morningstar to head retirement research at QMA
Jun 07, 2021
JPMorgan hires from Goldman, Wells for growth-equity effort
Jun 07, 2021
Business and life lessons from a needle in a haystack
Jun 07, 2021
Yellen says higher interest rates would be ‘plus’ for US, Fed
Jun 07, 2021
Time to rethink forced arbitration
Jun 07, 2021
InvestmentNews' 2021 class of 40 Under 40
Jun 07, 2021
The future of advice looks bright
Jun 07, 2021
Bob Doll's big move and a look at Finra and the SEC
Jun 04, 2021
How to buy the Bitcoin dip without buying Bitcoin
Jun 04, 2021
Citi goes on hiring spree for financial advisers
Jun 04, 2021
SEC removes head of U.S. accounting regulator
Jun 04, 2021
John Hancock, Lowe's 401(k) settlements each more than $10M
Jun 04, 2021
Finra resumes in-person arbitration nationwide
Jun 04, 2021
Surge in early retirements exposes inequalities among baby boomers
Jun 04, 2021
SEC fines robo-adviser Emperor Investments for false disclosures
Jun 04, 2021
Two Connecticut hybrids to merge, creating $1.4 billion firm
Jun 03, 2021
OneDigital acquires Fiduciary Plan Advisors
Jun 03, 2021
AMC shakes off 40% plunge as meme stock frenzy continues
Jun 03, 2021
House Republicans warn SEC against climate disclosure requirements
Jun 03, 2021
ESG investing can be volatile — but doesn't have to be
Jun 03, 2021
Congress' inaction on Social Security could cost clients 2 months’ pay
Jun 03, 2021
Hub acquires Massachusetts RIA
Jun 03, 2021
LPL Financial taps SmartAsset for investor prospecting
Jun 03, 2021
Wealth Enhancement Group buys $1.4 billion Hoover Financial Advisors
Jun 02, 2021
Fund managers in world's greenest market struggle with ESG rules
Jun 02, 2021
The future, as elite retirement plan advisers see it
Jun 02, 2021
Wandering financial advisers must be corralled, but who will break them in?
Jun 02, 2021
Team managing $221 million joins Woodbury from Raymond James
Jun 02, 2021
If rates stay low, expect retirement security to take a hit
Jun 02, 2021
Advisers blast Biden's retroactive capital gains proposal
Jun 02, 2021
T. Rowe Price introduces plan tool for retirement income
Jun 02, 2021
Niche financial planning seen as the next frontier
Jun 02, 2021
ETF tracking LGBTQ index is launched
Jun 02, 2021
IRS says RMD rules are coming 'soon'
Jun 02, 2021
Patrick Murphy steps down as CEO of John Hancock Retirement
Jun 02, 2021
Bob Doll joins Crossmark as chief investment officer
Jun 02, 2021
SEC charges former Massachusetts adviser with fraud
Jun 02, 2021
Trio managing $10.5 billion moves to UBS
Jun 01, 2021
Senators propose penalty-free emergency 401(k) taps
Jun 01, 2021
DOL is pursuing fewer cases — but much bigger payouts
Jun 01, 2021
Focus Financial takes stake in Florida RIA
Jun 01, 2021
Finra used 2020 fines to bolster market surveillance, exams, enforcement
Jun 01, 2021
More advisers are planning to use crypto: FPA
Jun 01, 2021
'Womenomics' researcher to bring ESG to Japanese startups
Jun 01, 2021
Why advisers are sacrificing momentum to change firms
Jun 01, 2021
Satisfying changing risk appetites
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