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Site Map for August 2021
Date
Title
Aug 31, 2021
Wells Fargo risks regulatory action over pace of restitutions
Aug 31, 2021
Social Security trust fund to be depleted 1 year sooner than expected
Aug 31, 2021
SEC inquiry into online brokers could redefine recommendations
Aug 31, 2021
Fidelity to hire 9,000 workers across the US
Aug 31, 2021
401(k) brokerage accounts on the rise: Charles Schwab
Aug 31, 2021
PayPal to launch stock trading on its mobile app
Aug 31, 2021
Wells Fargo team managing $295 million jumps to LPL
Aug 31, 2021
Lincoln Financial names Ellen Cooper CEO
Aug 31, 2021
Ex-Wells Fargo exec fights SEC on fake accounts
Aug 30, 2021
The future of the B-D: Death of a salesman?
Aug 30, 2021
Helping philanthropic clients get the most out of their giving
Aug 30, 2021
SEC fines multiple firms for cybersecurity lapses that exposed client data
Aug 30, 2021
Vanguard robo-adviser to offer active mutual funds
Aug 30, 2021
The risks of not talking about cognitive decline
Aug 30, 2021
Finra fines former LPL rep over forged signatures for annuities
Aug 30, 2021
Social Security Trust Fund report to document impacts of Covid-19
Aug 30, 2021
Turning on a dime to solve the ‘investor problem’
Aug 27, 2021
Powell says Fed's taper could start this year
Aug 27, 2021
Deutsche Bank’s DWS rejects claims it overstated ESG assets
Aug 27, 2021
American Century rigs hiring at its employees' expense
Aug 27, 2021
Hunt for hottest tickers creates new gray market
Aug 27, 2021
Budgeting app Douugh launches robo advice
Aug 27, 2021
SEC hints at tougher regulation of online brokers
Aug 27, 2021
As Covid cancels industry events, advisers weigh attending what's left
Aug 27, 2021
Tired of being on camera? You’re not alone
Aug 27, 2021
Average fund expense ratio now 0.41%, Morningstar finds
Aug 27, 2021
A father-son $500 million duo at Merrill Lynch moves to RBC
Aug 27, 2021
Clients both happy and unhappy
Aug 27, 2021
UBS, State Street among firms whose green funds fall short
Aug 26, 2021
Captrust acquires Chicago RIA Ellwood Associates
Aug 26, 2021
DOL should take cue from other nations to clear up 401(k) fees: GAO
Aug 26, 2021
The latest in financial #AdviserTech — August 2021
Aug 26, 2021
Women’s Equality Day with former Treasurer Rosie Rios
Aug 25, 2021
How 401(k) record keepers not part of the Fab Five can survive
Aug 25, 2021
Serial spouse has several Social Security claiming options
Aug 25, 2021
Barbara Roper to serve as senior adviser to SEC chair
Aug 25, 2021
Franklin Templeton builds on its tech for 401(k) managed accounts
Aug 25, 2021
More businesses plan to increase employee benefits
Aug 25, 2021
Riskalyze lands private equity funding from HG Capital
Aug 25, 2021
SEC obtains emergency relief to stop $110 million Ponzi scheme
Aug 25, 2021
Wells Fargo duo managing $235 million go indie
Aug 25, 2021
Goldman requires vaccines and masks at work
Aug 24, 2021
Capital Group launches new ETFs, but without American Funds name
Aug 24, 2021
Bain Capital to create ESG hedge fund
Aug 24, 2021
LPL, Commonwealth start to gain traction with wirehouse reps
Aug 24, 2021
The sky's the limit for an adviser dedicated to working with airline pilots
Aug 24, 2021
Finding ROI in the adviser tech stack
Aug 24, 2021
Skip Schweiss named CEO at Sierra Group
Aug 24, 2021
Covid cost employers $4.7 billion a week in lost productivity
Aug 24, 2021
Getting a handle on your head trash
Aug 24, 2021
UBS to offer Transamerica program for small-business retirement plans
Aug 24, 2021
Capital Group yields to ETF craze, plans launch of active funds
Aug 24, 2021
FPA cancels annual conference in September
Aug 24, 2021
Focus Financial to buy RIAs managing $570 million
Aug 24, 2021
Hightower takes stake in Colorado RIA
Aug 24, 2021
How will a capital gains tax hike affect red-hot RIA M&A market?
Aug 23, 2021
Burt White to retire from LPL Financial
Aug 23, 2021
Bitcoin mining is an 'existential threat' to crypto
Aug 23, 2021
Active funds are a potential hazard in 401(k)s, guidebook for sponsors says
Aug 23, 2021
Remote work could be Covid-19's lasting impact on wealth management
Aug 23, 2021
Lincoln Financial settles age discrimination claim with former recruiter
Aug 23, 2021
ESG and direct indexing bolstering each other and the RIAs that took PPP
Aug 23, 2021
Research twice, act once
Aug 23, 2021
Custodians tap into a rising tide in the RIA industry
Aug 23, 2021
Advisers who go narrow can build a wider practice
Aug 20, 2021
Texting takes center stage in client communications
Aug 20, 2021
SEC charges Texas RIA with $58 million fraud
Aug 20, 2021
Keep the focus on clients, not profits, with your tech stack
Aug 20, 2021
Suit over removal of gold-heavy fund from Columbia 403(b) fizzles
Aug 20, 2021
MetLife raises minimum wage for U.S. employees
Aug 20, 2021
5 major takeaways from the blockbuster IPCC report
Aug 20, 2021
T3 conference postponed until 2022
Aug 20, 2021
Schwab boosts pay, pushes return-to-office plans to 2022
Aug 20, 2021
CFP Board’s new strategic plan sets 5 priorities
Aug 20, 2021
Too Much of a Good Thing: Unwinding a Concentrated Stock Position
Aug 19, 2021
Federated enters ETF market with 2 active bond funds
Aug 19, 2021
SoFi fined $300,000 by SEC over proprietary fund sales
Aug 19, 2021
Average 401(k) is 24% bigger than a year ago: Fidelity
Aug 19, 2021
Retirees de-risk and base income on RMDs, research finds
Aug 19, 2021
RIA makes lowball offer for former Schorsch BDC shares
Aug 19, 2021
Robinhood tumbles after slowdown warning clouds crypto boom
Aug 19, 2021
Don't forget about clients once they've become clients
Aug 19, 2021
Goldman Sachs buys Dutch money manager in $1.9 billion deal
Aug 18, 2021
Wells Fargo abandons plan to shut down personal credit lines
Aug 18, 2021
Do RPAs need wealth management to survive?
Aug 18, 2021
T-Mobile data breach highlights cybersecurity issues for clients
Aug 18, 2021
Cyber insurance for 401(k)s rises in cost, demand
Aug 18, 2021
Morgan Stanley snags elite Merrill Lynch team in Utah
Aug 18, 2021
Senator proposing new taxes on wealthy says idea is popular
Aug 18, 2021
Prudential commits $200 million to diversity in private equity
Aug 18, 2021
Amazon enters Indian wealth management with bet on Smallcase
Aug 18, 2021
SEC charges Florida RIA with fraud
Aug 18, 2021
SEC charges New York investment firm and its founder with fraud
Aug 18, 2021
How inflation affects Social Security, Medicare and taxes
Aug 18, 2021
5 reasons why every app is becoming a financial services app
Aug 18, 2021
Goldman masks, scrutiny at Morgan Stanley as delta spreads
Aug 17, 2021
Appeals court reverses dismissal in NYU lawsuit
Aug 17, 2021
'Guaranteed income' preferred over 'annuities'
Aug 17, 2021
Fidelity is on TikTok jockeying for Generation Z
Aug 17, 2021
Candidates for small-firm Finra board seat target regulatory burden
Aug 17, 2021
Direct indexing emerges as must-have tool for tax management, ESG investing
Aug 17, 2021
FPA to use inclusion program developed by Latino group
Aug 17, 2021
Financial adviser arrested on child pornography charges
Aug 17, 2021
Beacon Pointe buys $1 billion Denver RIA
Aug 17, 2021
RIA firm culture takes pandemic beating, study finds
Aug 17, 2021
State Street will leave NYC offices, embrace hybrid work
Aug 17, 2021
Why the M&A clock is ticking faster than ever
Aug 17, 2021
Two named to top posts at AIG unit
Aug 16, 2021
Sales fintech Seismic pushes valuation to $3 billion
Aug 16, 2021
Galway Insurance buys $9.2 billion RIA
Aug 16, 2021
Advisers reportedly gouged PPP loans by $36 million
Aug 16, 2021
The DOL is asking 401(k)s about uncashed checks
Aug 16, 2021
Adviser managing $215 million at UBS moves to RBC
Aug 16, 2021
Q2 2021 Top Fixed Income Mutual Funds
Aug 16, 2021
Q2 2021 Top Equity Mutual Funds
Aug 16, 2021
US, Hong Kong firms merge to form $4.3 billion advisory
Aug 16, 2021
Congress should continue updating the retirement system
Aug 16, 2021
The purpose of CHIP and fallout from the NCAA ruling on student athlete pay
Aug 15, 2021
Registration closes Oct. 1 for 2022 Best Places to Work for Financial Advisers
Aug 14, 2021
Q2 2021 Fixed Income ETFs
Aug 14, 2021
Q2 2021 Top Equity ETFs
Aug 13, 2021
An Atlanta adviser takes pride in serving polyamorous clients overlooked by traditional planners
Aug 13, 2021
Quant with $135 billion in assets adjusts ESG model
Aug 13, 2021
401(k) suit claims higher revenue-sharing funds should have been used
Aug 13, 2021
SEC halts alleged fraud scheme that ripped off New Mexico seniors
Aug 13, 2021
Britney Spears’ father agrees to step down as conservator
Aug 13, 2021
Vaccines encouraged at most advisory firms — but not required
Aug 13, 2021
Ex-Merrill Lynch broker gets 42 months for $3 million fraud
Aug 13, 2021
The future of investing is personal — and it's already here
Aug 13, 2021
The parallel paths of ETFs and annuities
Aug 13, 2021
SRI or die: Time to get on board the responsible investing trend
Aug 12, 2021
Savant to acquire $321 million RIA firm
Aug 12, 2021
GOP challenges SEC chief's bid to regulate cryptocurrency
Aug 12, 2021
Pass rate for July CFP exam steady at 62%
Aug 12, 2021
Senate vote gives advocates for real estate tax break hope of protecting it
Aug 12, 2021
Plaintiffs make a splash in SeaWorld 401(k) lawsuit
Aug 12, 2021
Woodbury, Hartford on hook in $100,000 claim after stepson steals from stepdad
Aug 12, 2021
Maryland securities chief to lead NASAA in 2021-22
Aug 12, 2021
Looking beyond a will: Estate planning as end-of-life planning
Aug 12, 2021
Solving the build-it vs. buy-it dilemma for family offices
Aug 12, 2021
Advisers can learn from Eileen Cure and her practice management fiasco
Aug 12, 2021
Oppenheimer adviser managing $550 million goes indie with LPL
Aug 12, 2021
Top RIAs by nondiscretionary AUM
Aug 12, 2021
Flood of Bitcoin ETF filings but cooling demand for funds
Aug 12, 2021
How much does Schwab's cash sweep really cost clients?
Aug 11, 2021
Advisers want Congress to restore the SALT deduction
Aug 11, 2021
Hackers return funds from likely record crypto attack
Aug 11, 2021
When it comes to planning for themselves, do financial advisers seek advice from other advisers?
Aug 11, 2021
VA settlement could lead RIAs, insurers, states to ramp up oversight
Aug 11, 2021
MassMutual indie broker-dealer to offer Bitcoin fund to clients
Aug 11, 2021
Finra targets options trading in latest exam sweep
Aug 11, 2021
Voya explores potential deal for newly public Alight
Aug 11, 2021
Mariner adds $500 million Pennsylvania RIA
Aug 11, 2021
Gensler seeks Warren's help in crypto exchange crackdown
Aug 11, 2021
JPMorgan chases active ETFs with $10 billion mutual fund switch
Aug 11, 2021
Helping women advisers gain a seat at the table
Aug 11, 2021
Hybrid managing $300 million moves to Arkadios
Aug 10, 2021
Wells Fargo names Steve Black chairman
Aug 10, 2021
SEC's Gensler takes to Twitter to push mandatory climate disclosures
Aug 10, 2021
BofA banker charged with murder in Michelle Avan's death
Aug 10, 2021
Market risk, longevity still worry plan participants
Aug 10, 2021
HSAs keep growing, but employer support lags, report finds
Aug 10, 2021
Wealthtech funding drops 21% to $4.4 billion in Q2
Aug 10, 2021
DPL and tech firm launch online insurance marketplace
Aug 10, 2021
Colony Group to buy $288 million RIA
Aug 10, 2021
SEC accuses adviser of scamming $700,000 from sect members
Aug 10, 2021
How COLA affects Social Security benefits
Aug 10, 2021
Group-of-plans model good alternative for those waiting on PEPs
Aug 10, 2021
CI Financial acquires $3.4 billion Ohio-based RIA
Aug 10, 2021
Driving diversity and inclusion in the independent financial services industry
Aug 10, 2021
The Many Benefits of Annuities Might Surprise You
Aug 09, 2021
American Express returns to financial planning
Aug 09, 2021
What the U.N.'s climate change report means for advisers
Aug 09, 2021
Morgan Stanley bucks trend of more advisers leaving wirehouses
Aug 09, 2021
How fintechs are tackling racial and gender wealth gaps
Aug 09, 2021
Indies managing $376 million switch to Securities America
Aug 09, 2021
Morgan Stanley liable for trading Apple stock without customer's consent
Aug 09, 2021
A chance meeting leads an adviser to a bountiful niche practice
Aug 09, 2021
Merrill Lynch veteran Michelle Avan dies
Aug 09, 2021
Climate report to add pressure on governments to decarbonize
Aug 07, 2021
Diversity, Equity & Inclusion 2021 Lifetime Achievement Winner: Shundrawn Thomas
Aug 07, 2021
Nasdaq wins SEC support for plan to diversify boards
Aug 06, 2021
The fee-only model is scaling up fast, creating more mega RIAs
Aug 06, 2021
Assets in 529 savings accounts increase by 6.1% in Q2
Aug 06, 2021
Transitioning from the 60/40 mindset and an adviser for progressives
Aug 06, 2021
Why adviser groups won't completely shun lawmakers who voted to overturn the 2020 election
Aug 06, 2021
Envestnet bolsters $315 billion AUM with expanded services
Aug 06, 2021
Janney adds five reps who managed $1 billion at Truist
Aug 06, 2021
Former LPL adviser's alleged discrimination highlights company culture issues
Aug 06, 2021
Washington state testing long-term care program
Aug 06, 2021
Apollo-backed Athene wins $4.9 billion Lockheed pension deal
Aug 05, 2021
Wealth Enhancement Group acquires Maryland hybrid
Aug 05, 2021
Digital asset proposal puts spotlight on crypto taxes
Aug 05, 2021
F.L. Putnam acquires Atrato Advisors
Aug 05, 2021
Connecticut auto-IRA pilot to start next month
Aug 05, 2021
Gensler comments open floodgates for Bitcoin fund filings
Aug 05, 2021
Focus Financial pushes forward with blistering M&A pace in 2021
Aug 05, 2021
BlackRock, Wells Fargo delay return to office on Covid concerns
Aug 05, 2021
Nuveen enters active ETF market
Aug 05, 2021
Brokerage firm, 2 principals found guilty of stock fraud
Aug 05, 2021
Companies are increasing ESG reporting: US Chamber of Commerce
Aug 05, 2021
Wells Fargo duo managing $266 million goes indie with Raymond James
Aug 05, 2021
A fiduciary checklist for 401(k) sponsors is 79 items long
Aug 05, 2021
Workers save for retirement despite pandemic challenges
Aug 04, 2021
LPL cuts ties with adviser accused of racism in TikTok video
Aug 04, 2021
New DC aggregator appeals to independent RPAs
Aug 04, 2021
Jeff Jones elected chair-elect of NAPFA
Aug 04, 2021
Head count drops at Blucora's Avantax, but revenue per adviser rises
Aug 04, 2021
Alerian acquisition pushes ETF development to the next level
Aug 04, 2021
Vanguard offers workers $1,000 to get vaccinated by October
Aug 04, 2021
OneDigital and Ascensus offering managed-account, financial wellness package
Aug 03, 2021
IRA trustees wipe out an inherited IRA — their own
Aug 03, 2021
Congress should expand SEC oversight of crypto's 'Wild West': Gensler
Aug 03, 2021
Cryptoasset platform Onramp Invest raises $6 million
Aug 03, 2021
Debt weighs heavily on retirement security, happiness
Aug 03, 2021
Practice managing $300 million at Lincoln Financial joins Cetera
Aug 03, 2021
Content marketing for advisers? There’s an app for that
Aug 03, 2021
Stop devaluing your business
Aug 03, 2021
When knowledge backfires
Aug 03, 2021
Spouting Rock takes stake in Glovista
Aug 03, 2021
Merrill Lynch quintet managing $427 million moves to Raymond James
Aug 03, 2021
Charitable giving must support children’s mental health
Aug 03, 2021
LPL lowers minimum on managed accounts
Aug 02, 2021
Texas pension fraud case highlights cybersecurity risks
Aug 02, 2021
Fintech readies factor-based risk model for advisers
Aug 02, 2021
3 brokers in hot water over sketchy Covid-19 loan applications
Aug 02, 2021
Square to buy Afterpay for $29 billion
Aug 02, 2021
From reactive to proactive: Ramp up your diversity and inclusion efforts
Aug 02, 2021
Blucora’s Avantax to acquire $1.1 billion New Jersey RIA
Aug 02, 2021
Trio managing $170 million switches to LPL from Kestra
Aug 02, 2021
Merit acquires $291 million Atlanta-area firm
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