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Site Map for July 2021
Date
Title
Jul 30, 2021
SEC approves Finra rule to rein in rogue brokerages
Jul 30, 2021
A socialist adviser helps far-left clients accumulate wealth while fighting for financial fairness
Jul 30, 2021
Bill mandating SEC test for accredited investors draws criticism
Jul 30, 2021
Robinhood IPO and the end of ESG's sparkling performance?
Jul 30, 2021
Deutsche sees slew of departures in US wealth unit
Jul 30, 2021
Democrats press Labor Department for update on ESG rules
Jul 30, 2021
LPL, Dynasty, Mercer are ramping up their tech C-suites
Jul 30, 2021
Finalists for Women in Asset Management Awards announced
Jul 30, 2021
LPL drives assets to $1.1 trillion in Q2
Jul 30, 2021
Here's why TIAA can no longer play by its own rules
Jul 30, 2021
House bill would simplify approval of registered index-linked annuities
Jul 30, 2021
House committee approves bill to increase family office oversight
Jul 30, 2021
How firms can effectively communicate an ESG value proposition
Jul 30, 2021
SEC blocks Chinese IPO filings until risks are better disclosed
Jul 29, 2021
Daniel Moisand elected 2022 CFP Board chair-elect
Jul 29, 2021
AssetMark posts $84 billion in AUM under new CEO
Jul 29, 2021
Biden's nominee to head EBSA reflects aggressive rulemaking agenda
Jul 29, 2021
Wells Fargo taps Tyers to head independent advisor group
Jul 29, 2021
Wells Fargo adviser managing $300 million leaves for RIA
Jul 29, 2021
Empower Retirement sues Empower Geographics over web domain
Jul 29, 2021
Pennsylvania RIA sentenced to 63 months for fraud
Jul 29, 2021
Robinhood makes public debut after wild year
Jul 29, 2021
Raymond James sees boost to adviser recruiting
Jul 29, 2021
T. Rowe President Sharps to succeed Stromberg as CEO
Jul 29, 2021
Acquisition will create mega OSJ
Jul 29, 2021
457(b)s: The solution to bad K-12 403(b) plans?
Jul 28, 2021
What Empower’s purchase of Pru retirement business means for advisers
Jul 28, 2021
Congress urged to act on numerous retirement system changes
Jul 28, 2021
Robinhood under investigation by Finra ahead of IPO
Jul 28, 2021
Pension funds talk green but hold billions in polluter stocks
Jul 28, 2021
CFP Board proposes tougher penalties for hiding misconduct
Jul 28, 2021
Communications glitches between advisers and clients
Jul 28, 2021
Britney Spears' struggle for independence puts a spotlight on conservatorships
Jul 28, 2021
Hub names chief investment officer
Jul 28, 2021
Gensler says SEC will propose climate risk rules by year-end
Jul 28, 2021
Duo managing $740 million join LPL’s employee channel
Jul 28, 2021
Mariner Wealth to acquire $277 million RIA
Jul 28, 2021
Coalition calls for retirement security task force
Jul 28, 2021
Duo managing $239 million at Wells Fargo leave for Stifel
Jul 27, 2021
European ESG benchmarks make greenwashing harder
Jul 27, 2021
How one breakaway RIA brought over more assets than it expected
Jul 27, 2021
FBI, SEC warn public about fake brokers and advisers
Jul 27, 2021
Digital client acquisition fuels growth at top RIAs: Schwab
Jul 27, 2021
PRO Act opponents target new bill that could curtail independent advisers
Jul 27, 2021
Ameriprise recruiting stalls in Q2
Jul 27, 2021
Hightower adds $2 billion DC-based advisory firm
Jul 27, 2021
Sustainable fund assets grew 12% in Q2: Morningstar
Jul 27, 2021
Cresset acquires Texas RIA
Jul 27, 2021
Annuity sales surge 39% in second quarter
Jul 27, 2021
Alternative investments platform iCapital lands $440 million in fresh funding
Jul 27, 2021
How neuroscience is illuminating the relationship between leadership and fiduciary responsibility
Jul 27, 2021
Most investors don’t understand investment costs, survey finds
Jul 26, 2021
SEC fines 27 firms in first-ever Form CRS actions
Jul 26, 2021
House panel to vote on increasing family office oversight
Jul 26, 2021
Wells Fargo Asset Management rebrands with new CEO
Jul 26, 2021
Aon, Willis cancel $30 billion deal amid DOJ impasse
Jul 26, 2021
Alternative investment sales skyrocket in 2021
Jul 26, 2021
High-net-worth investors are itching to change advisers
Jul 26, 2021
Private equity firm invests in Concurrent Partners
Jul 26, 2021
Senate Democrats introduce bill providing 401(k), IRA match
Jul 26, 2021
Bitcoin nears $40,000 as shorts fuel rally on Amazon speculation
Jul 26, 2021
By casting a wide net, Finra hinders diversity
Jul 26, 2021
It's all coming together
Jul 26, 2021
Cashing in on the collectibles craze
Jul 26, 2021
How to be good at collectibles
Jul 26, 2021
RIA valuations and 'stuck-flation'
Jul 23, 2021
Spotlighting good work, eye on future
Jul 23, 2021
The fight to #freeBritney is a step toward reform
Jul 23, 2021
Trade groups step up fight against bill they say threatens independent advisers
Jul 23, 2021
Banks making cheap loans to the ultra-rich
Jul 23, 2021
Spark announces best practices to protect against retirement fraud
Jul 23, 2021
Focus Financial continues expansion into Canada
Jul 23, 2021
Why are so many Merrill Lynch advisers leaving?
Jul 23, 2021
Emigrant Partners takes stake in Tennessee RIA
Jul 23, 2021
Working canine to 5: Dogs in office help reduce stress
Jul 23, 2021
JPMorgan to double advisers in broker unit
Jul 22, 2021
Goldman spinoff Simon Markets raises $100 million in latest funding round
Jul 22, 2021
Rush to munis could boost Medicare premiums
Jul 22, 2021
A four-step approach to working with clients on sustainable investing
Jul 22, 2021
A-Rod backs online brokerage Tornado in $10 million funding round
Jul 22, 2021
Finra CEO wants to extend remote branch office inspections into 2022
Jul 22, 2021
Gimme pension? Annuities group to sponsor Rolling Stones tour
Jul 22, 2021
As in-person conferences restart, attendees want one thing above all else
Jul 22, 2021
Cetera team managing $170 million switches to LPL
Jul 22, 2021
Fidelity, Schwab, Vanguard suffer internet outages
Jul 22, 2021
Fed's GPB investigation puts spotlight on spending
Jul 22, 2021
More plan sponsors looking for new adviser
Jul 22, 2021
Four-woman, $800 million Wells Fargo team goes indie
Jul 21, 2021
The value of a 401(k) participant, quantified
Jul 21, 2021
SEC warns advisers about wrap-fee conflicts
Jul 21, 2021
Schwab’s $200 million charge points toward conflicts with cash spreads
Jul 21, 2021
Empower's $3.55 billion deal with Prudential makes the 401(k) world a lot smaller
Jul 21, 2021
Peirce’s concerns about ESG rulemaking could split SEC
Jul 21, 2021
Allianz Life enters DC business with guaranteed income product
Jul 21, 2021
Galvin takes swipe at Charles Schwab over unregistered adviser
Jul 21, 2021
New ETF leverages crypto miners and ESG
Jul 21, 2021
Inside Vestwell's $70M funding and retirement deal with Morgan Stanley
Jul 21, 2021
SEC's Gensler issues warning about stock tokens
Jul 21, 2021
Educating clients on the social of ESG investing
Jul 21, 2021
Who’s worried about retirement? Young people
Jul 21, 2021
Three reps managing $200 million join Virginia Asset Group
Jul 21, 2021
Emigrant Partners takes stake in Verdence Capital
Jul 21, 2021
Pru selling retirement biz to Empower in $3.55 billion deal
Jul 20, 2021
Reeling in clients who like to fish — and hunt, too
Jul 20, 2021
BlackRock voted against 255 directors because of climate issues
Jul 20, 2021
Schwab Charitable donors give record $3.7 billion in grants
Jul 20, 2021
Nasdaq teams with Citi, other banks on market for private stocks
Jul 20, 2021
Senate bill would expand pass-through tax deduction to advisers
Jul 20, 2021
Titan Invest secures $58 million, preps crypto offering
Jul 20, 2021
Janney nabs three wirehouse teams managing almost $1.4B
Jul 20, 2021
UBS wealth management boosts assets as adviser head count slips
Jul 20, 2021
Mariner Wealth to acquire AdvicePeriod
Jul 20, 2021
Morgan Stanley trio managing $700 million goes indie
Jul 20, 2021
Integrated Pension Services acquires Benefits 21
Jul 20, 2021
ETF sponsors perform well on diversity, equity and inclusion, study finds
Jul 20, 2021
Increase coming in 'introducing custodians' for RIAs
Jul 20, 2021
UBS assets and fee income surge in Q2
Jul 19, 2021
Apex’s Tricia Rothschild resigns after 1 year
Jul 19, 2021
Stocks sink as virus worries fuel flight to safety
Jul 19, 2021
How advisers can add value to their firms
Jul 19, 2021
The tension in 401(k)s: Autopilot with as much guidance as possible
Jul 19, 2021
SEC orders UBS to pay $8 million over sales of complex exchange-traded products
Jul 19, 2021
RBC adviser fired following arrest on domestic violence charges
Jul 19, 2021
'Why aren't there more women RIAs?' Carson Group's research into women in the RIA space
Jul 19, 2021
Rise of 'middle office' providers for RIAs
Jul 19, 2021
Robinhood aims for $35B valuation in IPO
Jul 19, 2021
The latest in financial #AdviserTech — July 2021
Jul 16, 2021
Private banker carves out his niche with clients that hold illiquid assets
Jul 16, 2021
Bipartisan bill would block digital tokens from becoming securities
Jul 16, 2021
Koch, Voya settle 401(k) fee lawsuits
Jul 16, 2021
'Salary plus bonus' will arrive at the wirehouses
Jul 16, 2021
M1 Finance funding pushes valuation to $1.4 billion
Jul 16, 2021
Wells Fargo says return to office will look ‘mostly’ like pre-Covid
Jul 15, 2021
Newfound financial freedom for college athletes could be a game-changer for advisers
Jul 15, 2021
Rescuing baby boomers' retirements
Jul 15, 2021
Record 101 RIA transactions took place in first half
Jul 15, 2021
Vanguard could propel values-based direct indexing from niche to essential
Jul 15, 2021
As inflation gets real, advisers ponder strategies
Jul 15, 2021
Kahl to become acting examinations chief at SEC
Jul 15, 2021
Big brokerages gearing up for return to the office
Jul 15, 2021
Allworth acquires $315 million RIA
Jul 15, 2021
The outlook for the independent broker-dealer model
Jul 15, 2021
Wall Street surrenders to $500M ETF rush
Jul 14, 2021
All’s quiet on the Reg BI front
Jul 14, 2021
Long-term care settlement to cost CalPERS as much as $2.7B
Jul 14, 2021
Wells Fargo Advisors head count sinks 9.8% annually
Jul 14, 2021
Merrill Lynch adviser head count drops as self-directed investing soars
Jul 14, 2021
The new active approach to credit investing
Jul 14, 2021
Envestnet taps UBS, iCapital to offer alternatives
Jul 14, 2021
Carson Group valued at $1 billion in latest deal
Jul 14, 2021
Fidelity Charitable reports record $4.3B in giving in first half
Jul 14, 2021
NAPA launches ESG certificate program
Jul 14, 2021
Venture-backed startup launches actively managed Catholic values ETF
Jul 14, 2021
Slow your roll: Selling a practice takes time
Jul 14, 2021
Fidelity expands target allocation offerings
Jul 14, 2021
Navigating Gray Divorce: How Advisers Can Help Female Clients
Jul 13, 2021
Too much regulatory oversight seen threatening ESG growth
Jul 13, 2021
Dimensional Funds' ESG expert says consistent rules would improve ratings
Jul 13, 2021
Kestra's $10.3M settlement is proof fund-fee disclosure remains a priority at the SEC
Jul 13, 2021
Goldman Sachs advisory revenues skyrocket 83% year over year
Jul 13, 2021
TIAA settles SEC and NY rollover investigations for $97M
Jul 13, 2021
Vanguard to acquire Just Invest and offer direct indexing
Jul 13, 2021
First Republic continues to add advisers
Jul 13, 2021
Social Security COLA likely to top 6% in 2022
Jul 13, 2021
Empower’s adviser managed accounts top $1.5 billion
Jul 13, 2021
Trading in 401(k) accounts at historic lows
Jul 13, 2021
Citigroup debuts no-fee stock trading
Jul 12, 2021
Assessing the tax implications of Bitcoin
Jul 12, 2021
PEPs are here. But how successful will they be?
Jul 12, 2021
Active cryptocurrency SMA aims to outperform Bitcoin
Jul 12, 2021
Finra arbitrators order Pershing to pay $648,543 to Stanford Ponzi victims
Jul 12, 2021
BNY Mellon Wealth rolls out client prospecting tool for advisers
Jul 12, 2021
Advisor Group replaces top recruiting officer
Jul 12, 2021
Biden fires head of Social Security Administration
Jul 12, 2021
3 steps to prepare wealthy clients for higher tax rates
Jul 12, 2021
Kara Murphy's new Kestra role and Blair DuQuesnay on Britney Spears
Jul 12, 2021
Advisers committed to charitable causes recognized by Invest in Others
Jul 12, 2021
Wells Fargo reps managing $1 billion move to Raymond James
Jul 12, 2021
Ameriprise team managing $420 million moves to LPL
Jul 12, 2021
Have valuations for RIA firms risen too much?
Jul 12, 2021
The power of conversations
Jul 12, 2021
Clients are upping charitable giving in the wake of the pandemic
Jul 12, 2021
Deepening the adviser-client relationship
Jul 12, 2021
Why Inflation Concerns May be Overblown
Jul 12, 2021
Inflation Protection: A Missing Component in Most Portfolios
Jul 09, 2021
To recruit more women advisers, industry needs to abandon sales culture
Jul 09, 2021
Biden's executive order could ease adviser moves, but limit mega-mergers
Jul 09, 2021
401(k) lawsuit alleges excessive adviser compensation
Jul 09, 2021
Principal partners with Edelman Financial Engines to offer participant advice
Jul 09, 2021
Morningstar aims to rethink risk tolerance with new tools
Jul 09, 2021
U.S. Bank to acquire PFM Asset Management
Jul 09, 2021
Wells Fargo shuts down personal credit lines
Jul 08, 2021
Warren pushes SEC to step up crypto regulation
Jul 08, 2021
Mariner announces first acquisition since partnering with private equity
Jul 08, 2021
Discrimination class action suit filed against BofA, Merrill
Jul 08, 2021
Morgan Stanley discloses data breach of its StockPlan Connect business
Jul 08, 2021
Schwab's $200 million charge suggests additional scrutiny for online brokerages
Jul 08, 2021
Captrust marks 50th acquisition with $2.1 billion RIA
Jul 07, 2021
SEC advisory committee recommends diversity, ESG disclosures
Jul 07, 2021
Is the market for small 401(k)s a blue ocean for RPAs?
Jul 07, 2021
Senate retirement bill includes tax break for financial planning
Jul 07, 2021
Summer-friendly strategies for growing your brand and community
Jul 07, 2021
Wirehouses fall flat on adviser satisfaction: J.D. Power
Jul 07, 2021
New 'bond alternative' ETF targets nervous income investors
Jul 07, 2021
Hub International picks up $4.6 billion retirement plan adviser
Jul 07, 2021
Genstar buys Lovell Minnick’s stake in Foreside
Jul 07, 2021
Merrill Lynch rep managing $250 million goes indie with LPL
Jul 07, 2021
Balancing freedoms makes you a better adviser, happier person
Jul 06, 2021
Introducing the 2021 Excellence in Diversity, Equity & Inclusion honorees
Jul 06, 2021
4 conversations to make retirement more fulfilling for your clients
Jul 06, 2021
Ric Edelman's next move aims to bring advisers into digital assets
Jul 06, 2021
AMG acquiring $47 billion ESG manager Parnassus
Jul 06, 2021
Failure to supervise risky ETF sales costs Sanctuary $530,000
Jul 06, 2021
Schlichter suit against Northwestern goes to Supreme Court
Jul 06, 2021
ETF inflows on track to shatter 2020 record
Jul 06, 2021
Time's running out for a mega qualified charitable distribution!
Jul 06, 2021
Hedge fund titan's crypto firm sells stake in blockchain ETF
Jul 06, 2021
Demand for alternatives puts pressure on asset managers: State Street
Jul 05, 2021
Schwab’s $200 million charge puts focus on robo-advisers
Jul 02, 2021
Increasing retail investor access to private markets gains bipartisan support
Jul 02, 2021
Sageview, Hub snap up retirement plan consultants
Jul 02, 2021
Focus Financial notches two more acquisitions, bringing 2021 total to 15
Jul 02, 2021
To truly be diverse, the advice industry first needs a true tally of advisers
Jul 02, 2021
How to say anything to a client
Jul 02, 2021
Robinhood readies initial public offering for liftoff
Jul 02, 2021
Schwab to take $200 million charge on SEC investigation
Jul 02, 2021
Introducing DACFP, a new partner of InvestmentNews
Jul 01, 2021
The Colony Group acquires $2.8 billion New Providence Asset Management
Jul 01, 2021
GOP senators ask whether ESG investing hurts federal retirement savers
Jul 01, 2021
Crown Capital settles with SEC over 12b-1 fees
Jul 01, 2021
Seldom-used 401(k) brokerage windows being reviewed by DOL
Jul 01, 2021
LPL enhances model portfolio tool
Jul 01, 2021
Morningstar creates new tools to assess risk tolerance
Jul 01, 2021
Energy, financials, real estate sectors riding inflation wave
Jul 01, 2021
Securities America fined $1.75 million for rogue broker breakdown
Jul 01, 2021
Ric Edelman's digital assets council rebrands
Jul 01, 2021
Help clients understand market fluctuations
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