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Site Map for September 2021
Date
Title
Sep 30, 2021
CalPERS, Carlyle in ESG data push
Sep 30, 2021
Finra proposes $100 annual fee to ensure industry reentry
Sep 30, 2021
Schwab to investigate harassment claim made by former employee
Sep 30, 2021
3 drivers of record M&A activity
Sep 30, 2021
Former fund CEO agrees to pay $5.5 million over fraud charge
Sep 30, 2021
Avantax practices managing $350 million move to Cetera
Sep 30, 2021
Standard introduces small-plan record-keeping tool
Sep 30, 2021
Consolidation, wellness and micro market top of mind for record keepers
Sep 30, 2021
Empower Retirement plans to hire 325 by year-end
Sep 30, 2021
OneDigital acquires $350 million advisory firm
Sep 30, 2021
Franklin Templeton buys $6.4 billion money manager O’Shaughnessy
Sep 30, 2021
ESG investors expect outperformance, still worry about greenwashing
Sep 30, 2021
The latest in financial #AdviserTech — September 2021
Sep 29, 2021
Enforcement actions up in 2020 as state securities regulators pursued pandemic fraudsters
Sep 29, 2021
Morgan Stanley trio managing $315 million joins Raymond James
Sep 29, 2021
Betterment tops $1.3 billion valuation with latest funding
Sep 29, 2021
PIABA: Unpaid arbitration awards increased in 2020
Sep 29, 2021
On a hiring spree? Retirement income could help lure workers
Sep 29, 2021
Mobile adviser dashboard? There’s a Merrill app for that
Sep 29, 2021
Overseas disclosure rules lead some asset managers to nix ESG labels
Sep 29, 2021
Florida broker to pay ex-wife $2.6 million in Finra arbitration claim
Sep 29, 2021
Avantax team managing $400 million switches to LPL
Sep 29, 2021
Mercer Advisors acquires $1.5 billion advisory firm
Sep 29, 2021
Trio managing $500 million at Truist joins Raymond James
Sep 28, 2021
Finra set to increase requirements for private placements
Sep 28, 2021
Annuity sales reach near-record in second quarter
Sep 28, 2021
Cresset balloons to $20 billion in assets with latest megadeal
Sep 28, 2021
Vanguard lowers expenses by merging target-date funds
Sep 28, 2021
The biggest gaps in Medicare: Dental, hearing and vision coverage
Sep 28, 2021
The next evolution of Monte Carlo analysis
Sep 28, 2021
Soccer is the next big thing for hedge funds and private equity
Sep 28, 2021
Motley Fool to convert its mutual funds into ETFs
Sep 28, 2021
Dealing with challenging clients
Sep 28, 2021
Fidelity opens adviser access to fractional shares
Sep 27, 2021
Media coverage of Social Security could affect claiming age
Sep 27, 2021
Dave Ramsey loses deposition fight in timeshare case
Sep 27, 2021
Mercer acquires $240 million RIA
Sep 27, 2021
SEC charges adviser with steering clients to expensive funds
Sep 27, 2021
LPL lands $675 million team from MassMutual
Sep 27, 2021
Managing operational risks at growing advisory firms
Sep 27, 2021
Quants poised to take over the world of bonds: Invesco
Sep 27, 2021
Jamie Hopkins on Biden tax plan plus more
Sep 27, 2021
Helping ESG investors avoid greenwashing
Sep 27, 2021
Return of live events is a welcome step forward
Sep 27, 2021
Are asset managers giving plain old funds a green tint?
Sep 24, 2021
Protecting client data in account aggregation
Sep 24, 2021
Delaying DOL fiduciary rule would give small RIAs time to comply
Sep 24, 2021
More companies planning PEPs, with potential in auto-IRA states
Sep 24, 2021
Want a tattoo of your favorite ticker? 1.1 million new investors say yes
Sep 24, 2021
Wisconsin RIA defrauded clients, SEC charges
Sep 24, 2021
Lockton acquires advisory firm consultancy
Sep 24, 2021
Adviser's cross-border niche targets Canadians moving south, and vice versa
Sep 24, 2021
Ultra-rich boom fuels M&A frenzy for advisory firms
Sep 23, 2021
Adviser recognized for educating on genetic blood disease
Sep 23, 2021
MoneyLion makes trading debut after SPAC merger
Sep 23, 2021
Don't worry about inflation, but do prepare for it
Sep 23, 2021
Fiduciary advocates call on SEC to fix Form CRS
Sep 23, 2021
Congressmen propose portable retirement accounts
Sep 23, 2021
Berthel Fisher latest to face penalty over fund charges
Sep 23, 2021
Four Virginia bank reps managing $580 million join D.A. Davidson
Sep 23, 2021
Wells Fargo team managing $450 million joins RBC
Sep 23, 2021
JPMorgan buys college financial-planning platform Frank
Sep 23, 2021
How firm leaders can rejuvenate DEI efforts
Sep 23, 2021
Mariner adds $2.7 billion in assets with FCG Advisors deal
Sep 23, 2021
Cathie Wood, Rob Arnott go toe-to-toe at Morningstar
Sep 23, 2021
Female-led bank team managing $250 million goes to Raymond James
Sep 23, 2021
Powell says Fed taper could start 'soon,' end around mid-2022
Sep 22, 2021
Adviser's humanitarian efforts during disasters recognized
Sep 22, 2021
SEC, Finra officials: Don’t just go through motions on Reg BI compliance
Sep 22, 2021
What drives value for RPA firms?
Sep 22, 2021
Vanguard comes up short on climate, think tank says
Sep 22, 2021
Small retirement accounts, prone to cash-outs and getting lost, a growing problem
Sep 22, 2021
Tiedemann-led RIA SPAC sets sizable growth targets
Sep 22, 2021
James Lee is FPA’s 2022 president-elect
Sep 22, 2021
Break up Wells Fargo? OK, but what are its advisers worth?
Sep 22, 2021
'Everyone has something to teach.' Shundrawn Thomas among leaders celebrated for DEI efforts
Sep 22, 2021
TIAA participants waiting longer to retire
Sep 22, 2021
Practice overseeing $700 million returns to LPL
Sep 22, 2021
OneDigital offers retirement plan for small businesses
Sep 22, 2021
Citizens Financial CEO hunts for wealth deals
Sep 22, 2021
Merrill team overseeing $1.75 billion starts RIA
Sep 21, 2021
Adviser recognized for his support of audiological work with children
Sep 21, 2021
New NASAA leader calls for expungement reform
Sep 21, 2021
Why more advisers are taking the free dinner seminar off the menu
Sep 21, 2021
Vanguard, Retirement Clearinghouse to offer automated plan transfers
Sep 21, 2021
State regulators: Advisers fall short in guarding against senior financial abuse
Sep 21, 2021
HSA holders aren't maximizing accounts, EBRI says
Sep 21, 2021
iCapital Network builds out alternative investments with Axio acquisition
Sep 21, 2021
Focus Financial takes stake in Missouri RIA
Sep 21, 2021
What can move advisers to create a succession plan?
Sep 21, 2021
Wells Fargo rep managing $200 million joins Ray Jay
Sep 21, 2021
Tiedemann Group, Alvarium to merge via a SPAC
Sep 20, 2021
Evergrande blowup hits stocks with little link to China
Sep 20, 2021
AssetMark launches pooled employer plan
Sep 20, 2021
Morningstar's in-person conference should rate highly and the American Century conspiracy
Sep 20, 2021
Adviser wins for his work on ending generational poverty
Sep 20, 2021
XYPN petitions SEC for brighter line between brokers, advisers
Sep 20, 2021
Joanna Rotenberg to head Fidelity’s personal investing division
Sep 20, 2021
Finra dings former Merrill broker for not reporting pot bust
Sep 20, 2021
Regulators: Trading app nudges could be investment advice, trigger Reg BI
Sep 20, 2021
Team managing $800 million at BMO joins Crewe Advisors
Sep 20, 2021
For this adviser, socially responsible investing comes first
Sep 20, 2021
MAI buys $390 million Maryland-based RIA
Sep 20, 2021
Female duo managing $230 million at FiNet returns to LPL
Sep 20, 2021
Market contagion tests China's resolve on Evergrande
Sep 20, 2021
Tax perks nudging employers to help pay workers' student loans
Sep 20, 2021
Sharing the student debt load
Sep 20, 2021
Toward a national auto-IRA
Sep 20, 2021
Retirement security answers take teamwork
Sep 17, 2021
Billion-dollar Merrill Lynch team moves to RBC
Sep 17, 2021
Fidelity to offer email security tool to RIAs, B-Ds
Sep 17, 2021
RBC to pay SEC $800,000 for muni offering violations
Sep 17, 2021
AdvicePay launches customizable compliance tool
Sep 17, 2021
Finra probes brokerages' use of social media for prospecting
Sep 17, 2021
Participants say plan websites are frustrating
Sep 17, 2021
Invesco reportedly in talks with State Street regarding asset management unit
Sep 17, 2021
Finra suspends salesman over commuting expenses
Sep 17, 2021
NVIDIA 401(k) lawsuit swatted down, for now
Sep 17, 2021
Putting Social Security's financial outlook in perspective
Sep 17, 2021
HSA assets hit $92.9 billion through first half
Sep 17, 2021
Trio managing $366 million at Voya joins Royal Alliance
Sep 17, 2021
Nebraska bank program managing $300 million switches to LPL
Sep 16, 2021
The impact versus the job: Lessons on making a noble profession
Sep 16, 2021
Finra extends brokerage office remote inspections into 2022
Sep 16, 2021
US lags on retirement security, global report finds
Sep 16, 2021
Fidelity to beef up digital channels with 800 tech hires
Sep 16, 2021
Galvin fines MassMutual $4 million in 'Roaring Kitty' case
Sep 16, 2021
ETFs could lose key tax advantage
Sep 16, 2021
GPB sells top auto-dealership asset for $880 million
Sep 16, 2021
Focus Financial buys $1.2 billion Canadian wealth manager
Sep 15, 2021
Why financial wellness is a dismal failure and a huge success
Sep 15, 2021
House tax proposal would close door on popular back-door Roth IRA conversions
Sep 15, 2021
SALT conference panel demystifies crypto custody concerns
Sep 15, 2021
What's LPL's recruiting deal for employee advisers?
Sep 15, 2021
Sawtooth Solutions acquired by Simplicity Group
Sep 15, 2021
DOL proposal throws cold water on group-of-plans model
Sep 15, 2021
Morgan Stanley's broad new pipeline for clients
Sep 15, 2021
CI Financial sets up US headquarters in Miami
Sep 14, 2021
How crypto is attracting millennial millionaires to financial advice
Sep 14, 2021
Warren asks the Fed to break up Wells Fargo
Sep 14, 2021
Gensler defends ESG disclosures against Republican backlash
Sep 14, 2021
Attend the Nov. 11 Women Adviser Summit
Sep 14, 2021
Register for the Nov. 3 Women Adviser Summit
Sep 14, 2021
Medicare open enrollment begins Oct. 15
Sep 14, 2021
J.P. Morgan cuts off sales charges in 529 plans
Sep 14, 2021
SEC continues to smack firms over conflicts around fund fees
Sep 14, 2021
Focus Financial unit takes stake in $2 billion Connecticut RIA
Sep 14, 2021
Morgan Stanley, Empower to expand joint plan solutions
Sep 14, 2021
Captrust leads group launching small-plan service
Sep 14, 2021
More advisory firms using flat fees, survey finds
Sep 14, 2021
Why multiyear earnouts can cause problems
Sep 14, 2021
VanEck launches first sustainable muni ETF
Sep 14, 2021
ESG loyalty will be tested as performance starts to lag
Sep 14, 2021
CI Financial acquires $5.2 billion Portola Partners
Sep 13, 2021
Schwab hit with class-action complaint over cash sweeps
Sep 13, 2021
Dimensional Fund Advisors flips $8 billion of assets into ETFs
Sep 13, 2021
Advisers express relief at tax increases proposed in budget bill
Sep 13, 2021
Lawsuit over 401(k) fees, active target-date series fails
Sep 13, 2021
Fiduciary — it’s all Greek to me!
Sep 13, 2021
Jackson Financial completes separation from UK insurer Prudential
Sep 13, 2021
Inflation expectations hit 4% among consumers, Fed says
Sep 13, 2021
Annuities are now a big business for PE firms
Sep 13, 2021
Top ESG metrics to boost profitability
Sep 13, 2021
iCapital offers digital currency investing via Grayscale
Sep 13, 2021
Tech platforms ease investing in alts
Sep 13, 2021
Target-date funds hold 27% of 401(k) assets, study finds
Sep 13, 2021
Wells Fargo duo managing $305 million goes indie with LPL
Sep 13, 2021
Is the S&P overvalued? Look to history
Sep 13, 2021
Democrats slim Biden tax plan
Sep 13, 2021
Alts may provide the lift 60-40 portfolios need
Sep 13, 2021
20 years of resilience
Sep 13, 2021
A new brand day
Sep 10, 2021
Her Success Matters relaunches as industry inclusion enters spotlight
Sep 10, 2021
Ruppert to succeed Havlik as Finra’s supervision chief
Sep 10, 2021
Financial advisers hone their focus on ESG strategies
Sep 10, 2021
How online trading apps are changing the market
Sep 10, 2021
Wells Fargo taps senior female executive for new wealth management role
Sep 10, 2021
Wells Fargo fined $250 million over consumer missteps
Sep 10, 2021
House committee approves auto-IRA legislation
Sep 10, 2021
Mobile apps teach college students to tackle spending habits — and debt
Sep 10, 2021
Why Wall Street just isn't Wall Street anymore
Sep 09, 2021
Cresset nabs J.P. Morgan advisers managing $2 billion
Sep 09, 2021
Wealth Enhancement Group marks 11th deal of 2021
Sep 09, 2021
UK experience suggests small-business plan mandate works
Sep 09, 2021
Merrill spiffs up broker workstation, adds client banking information
Sep 09, 2021
Rocket Dollar IRA platform raises $8 million
Sep 09, 2021
Mariner Wealth Advisors extends PE-backed buying spree
Sep 09, 2021
Fund industry wants lower fees for document delivery
Sep 09, 2021
Northwestern rep overseeing $380 million goes indie with LPL
Sep 09, 2021
J.P. Morgan, AIG to offer annuity tool for 401(k) plans
Sep 09, 2021
Janus Henderson enters ESG field with five active ETFs
Sep 09, 2021
Are retirement plan providers ready for the next 9/11?
Sep 08, 2021
Coinbase threat demonstrates Gensler's focus on taming crypto
Sep 08, 2021
Fight over DC participants tests advisers' partnerships with providers
Sep 08, 2021
Embedded investing and why it works
Sep 08, 2021
AssetMark adds a dozen SMAs to the platform
Sep 08, 2021
US SIF updates ESG guidance ahead of Labor Department proposal
Sep 08, 2021
Wells Fargo adviser managing $190 million joins Baird
Sep 08, 2021
Morningstar acquires Moorgate Benchmarks
Sep 08, 2021
Britney Spears’ father files petition to end conservatorship
Sep 08, 2021
Adviser managing $300 million at Morgan Stanley joins LPL
Sep 08, 2021
Prepping fintech platforms for the next cyberattack
Sep 07, 2021
House Ways and Means Committee to vote on auto-IRA legislation
Sep 07, 2021
SEC marketing rule causes advisers most compliance concerns
Sep 07, 2021
San Francisco 49ers push finlit with robo-adviser Stash
Sep 07, 2021
Investing in a disruptive climate
Sep 07, 2021
Hightower makes sixth deal in 2021
Sep 07, 2021
LPL grabs former Voya team with $400 million in assets
Sep 07, 2021
Great service is assumed. A full client experience is not
Sep 07, 2021
Hub buys $428M fee-only advisory firm
Sep 07, 2021
Advisory Back Offices: The Next Efficiency Frontier
Sep 07, 2021
Why Michael Jordan invested in estate planning startup Vanilla
Sep 07, 2021
NextCapital co-founder steps down
Sep 07, 2021
State Street to buy Brown Brothers unit for $3.5 billion
Sep 07, 2021
How the advisory industry has been preparing for the next 9/11 event
Sep 07, 2021
Automating Process: The Key to Efficiency and Value Creation
Sep 03, 2021
Investor advocate comes off the sidelines, gets into the regulatory game
Sep 03, 2021
Former lawyer to pay $42 million for life insurance fraud
Sep 03, 2021
Fund managers feel heat as SEC cracks down on inaccurate ESG labels
Sep 02, 2021
Inside ETFs, WealthStack postponed until June 2022
Sep 02, 2021
Focus Financial takes stake in $2 billion RIA
Sep 02, 2021
SEC charges crypto exchange BitConnect with $2 billion fraud scheme
Sep 02, 2021
Hurricane Ida upends businesses for many financial advisers
Sep 02, 2021
Lule Demmissie to head eToro Group in US
Sep 02, 2021
SEC's Gensler orders review of funds' ESG disclosures
Sep 02, 2021
Snappy Kraken pushes annual conference to 2022
Sep 02, 2021
Allworth Financial acquires $367 million RIA
Sep 02, 2021
Building a better portfolio with ESG ETFs
Sep 01, 2021
Pierce wins small-firm seat on Finra board
Sep 01, 2021
Beacon Pointe acquires $500 million Seattle RIA
Sep 01, 2021
Kathleen Kennedy Townsend joins DOL in retirement advisory role
Sep 01, 2021
Goldman Sachs hires tech veteran Cynthia Loh from Charles Schwab
Sep 01, 2021
Regulators scrutinize ESG more closely as greenwashing explodes
Sep 01, 2021
A student loan crisis is looming. RPAs can help clients prepare
Sep 01, 2021
Raymond James affiliate managing $625 million moves to LPL
Sep 01, 2021
Four-person Merrill team managing $391 million joins UBS
Sep 01, 2021
Fintech firm offers annuity selection tool
Sep 01, 2021
Court rules inherited 401(k) funds are protected in bankruptcy
Sep 01, 2021
4 key Olympic lessons for advisers
Sep 01, 2021
Repeat RIA offender charged with fraud
Sep 01, 2021
Small acts of kindness that build your advisory business
Sep 01, 2021
Raymond James delays office return amid Florida virus surge
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