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Site Map for December 2021
Date
Title
Dec 31, 2021
How BlackRock made ESG the hottest ticket on Wall Street
Dec 29, 2021
Deeper stock dives could test client nerves in 2022
Dec 28, 2021
Bitcoin slides below $50,000 capping a down December
Dec 27, 2021
Why green stocks are slumping during ESG boom
Dec 23, 2021
SEC denies 2 Bitcoin ETFs in latest setback to crypto industry
Dec 23, 2021
Social Security offices to remain closed indefinitely
Dec 22, 2021
Anti-woke strategies emerge as flip side of ESG
Dec 22, 2021
LPL hauls in Elite Financial Network from Securities America
Dec 22, 2021
Fine wine: The unconventionally attractive alt investment
Dec 22, 2021
Looking at risk and return through a new lens
Dec 21, 2021
Brokerages pay $5 million in restitution for 529 plan violations
Dec 21, 2021
Private Advisor Group reels in new investor capital
Dec 21, 2021
Avantax settles with SEC for $16.9 million over 12b-1 fees
Dec 21, 2021
SEC names William Birdthistle director of investment management division
Dec 21, 2021
Global Infrastructure Management pays $4.5 million to settle with SEC
Dec 21, 2021
Our succession planning crisis
Dec 21, 2021
Clients doing it themselves can cause glitches
Dec 20, 2021
ETFs set another record in race to take over mutual funds
Dec 20, 2021
Spending in retirement falls with age, and not by choice
Dec 20, 2021
SEC Republican commissioner Elad Roisman to step down
Dec 20, 2021
LPL Financial lands MML team managing $390 million
Dec 20, 2021
Anti-woke ETFs
Dec 20, 2021
MAI Capital acquires $235 million RIA
Dec 20, 2021
Crypto barrels toward 2022 after adding $1.5 trillion in value
Dec 20, 2021
The latest in financial #AdviserTech — December 2021
Dec 17, 2021
SEC says drop jargon, clarify fees on Form CRS
Dec 17, 2021
Washington state to delay assessing long-term care premiums
Dec 17, 2021
JPMorgan to pay $125 million penalty over messaging apps
Dec 17, 2021
Vanguard cuts expense ratios on 17 funds
Dec 17, 2021
Finra slaps RBC with $1 million in penalties over bond sales
Dec 17, 2021
Capital Group, Federated plant flags in ETF land
Dec 17, 2021
Nokia's $8.5B 401(k) held down by high fees, lawsuit claims
Dec 16, 2021
GAO recommends SEC tighten oversight of Finra
Dec 16, 2021
The case for curiosity as a marketing strategy
Dec 16, 2021
Voya sued for using own investments in 401(k) plan
Dec 16, 2021
Morgan Stanley rep managing $130 million moves to UBS
Dec 16, 2021
Fintech can accelerate ESG integration
Dec 16, 2021
Beacon Pointe adds $678 million RIA
Dec 16, 2021
JPMorgan adviser loses ruling in client-poaching case
Dec 16, 2021
Dimensional cuts fees on 50 funds
Dec 15, 2021
Chief investment officers critical to success of DC plans, participants
Dec 15, 2021
SEC slaps Wedbush with $1.2 million in penalties over microcaps
Dec 15, 2021
2022 outlook for Social Security
Dec 15, 2021
Fed signals three hikes next year in inflation pivot
Dec 15, 2021
Platform seeks to assist underrepresented advisers
Dec 15, 2021
Transamerica sued by 401(k) participant over data breach
Dec 15, 2021
Schwab to offer T. Rowe institutional shares commission-free
Dec 15, 2021
A mass migration of advisers
Dec 15, 2021
Talking trusts: A win-win
Dec 15, 2021
Securities America team managing $200 million joins LPL
Dec 15, 2021
Mariner Wealth acquires RIA with $775 million in AUA
Dec 15, 2021
MAI Capital acquires $558 million RIA
Dec 15, 2021
Franklin Templeton joins shift to low-cost ETFs
Dec 15, 2021
CI Financial notches 29th and 30th deals in record buying spree
Dec 14, 2021
Wells Fargo moves to simplify pay plan for advisers
Dec 14, 2021
Pimco, Fidelity shun net-zero alliance embraced by BlackRock
Dec 14, 2021
Morgan Stanley-backed Bitcoin firm NYDIG raises $1 billion
Dec 14, 2021
Labor Department's ESG proposal attracts ire from the anti-'woke'
Dec 14, 2021
Planswell opens up free financial planning tech to advisers
Dec 14, 2021
Hub acquires $3.4 billion plan consultant
Dec 14, 2021
Hightower adds $1.8 billion RIA in Kansas
Dec 14, 2021
Fidelity Institutional adds new head of client growth
Dec 14, 2021
That student loan crisis is about to get real, again
Dec 14, 2021
Prospera leaps into the acquisition game with Dorsey deal
Dec 14, 2021
Rich business owners rethink retirement amid pandemic
Dec 14, 2021
Wealth management platforms as collaboration tools
Dec 14, 2021
Robinhood plans crypto gifting feature
Dec 13, 2021
3 reps managing $345 million join LPL employee unit
Dec 13, 2021
401(k) adviser M&A doubles last year's record
Dec 13, 2021
Private equity expands beyond US wealth management
Dec 13, 2021
Wescott Financial buys $800 million niche practice
Dec 13, 2021
Deals and no deals
Dec 13, 2021
New Year, Same Challenge: The Search for Income Continues
Dec 10, 2021
Hub notches 2 more benefits acquisitions
Dec 10, 2021
Advisers can't find information online from asset managers: J.D. Power
Dec 10, 2021
Energy firm Exelon sued over 401(k)
Dec 10, 2021
Wall Street's latest to hook independent advisers? Alternatives
Dec 10, 2021
Going fee-only can be catalyst for growth
Dec 10, 2021
Rich clients get more ‘S’ options at $8 billion firm
Dec 10, 2021
What a year for broker-dealers and their advisers
Dec 09, 2021
Big drop in retail broker-dealers since 2010: Cerulli
Dec 09, 2021
Why the SEC can't wait for Congress to regulate cryptocurrencies
Dec 09, 2021
Regtech RIA in a Box acquired by ComplySci
Dec 09, 2021
Gensler targets SPAC disclosures
Dec 09, 2021
Raymond James adds Texas advisers managing $567 million
Dec 09, 2021
Wells Fargo team managing $250 million goes indie with LPL
Dec 09, 2021
Cathie Wood's ARK launches ESG ETF
Dec 09, 2021
2021: The year of the PEP
Dec 08, 2021
Goldman says young workers are plotting early retirements
Dec 08, 2021
Investors need to go beyond net-zero pledges
Dec 08, 2021
Wells Fargo fined $2.25 million for record-keeping violations
Dec 08, 2021
How different are retirement portfolios built by investors, advisers?
Dec 08, 2021
RPAs need a new name to reach the next level
Dec 08, 2021
Some Social Security checks to decline in 2022 due to IRMAA
Dec 08, 2021
Fintech startup looks to lasso new retail clients
Dec 08, 2021
Wells Fargo's credit-card revamp 'not rocket science,' Scharf says
Dec 08, 2021
Captrust buys $2.2 billion Rinet in 8th deal this year
Dec 08, 2021
BlackRock to pull bulk of U.S. ETF assets from State Street
Dec 08, 2021
The battle for direct indexing heats up
Dec 07, 2021
SEC can handle digital 'nudges' with Regulation Best Interest: SIFMA
Dec 07, 2021
How hackers will use killer data
Dec 07, 2021
Bitcoin model portfolios launched by 3iQ, Gemini
Dec 07, 2021
Amazon, AWS web outages affect Robinhood, Coinbase
Dec 07, 2021
Woodbridge executives settle with SEC for $3.75 million
Dec 07, 2021
Supreme Court ponders future of ERISA fee litigation
Dec 07, 2021
Reps managing $1.7 billion at Wells Fargo join Alex. Brown
Dec 07, 2021
5 ways to add value with year-end tax planning conversations
Dec 07, 2021
RBC rep managing $420 million goes indie with LPL
Dec 07, 2021
2 Raymond James execs stepping down from top posts
Dec 07, 2021
ETFs take center stage in 2021
Dec 06, 2021
Northeast RIAs see growth bounce back in 2021
Dec 06, 2021
Hub buys $2.3 billion 401(k) consultant Fiducia Group
Dec 06, 2021
Gomez would bring industry experience to DOL’s retirement plan oversight
Dec 06, 2021
Gensler sets fast pace, expansive policies at SEC with Democrats in control
Dec 06, 2021
Ed Slott's year-end tax strategies & the M&A train keeps on rolling
Dec 06, 2021
CI Financial to acquire $6 billion RegentAtlantic
Dec 06, 2021
Tax proposals axed from the Build Back Better Act
Dec 06, 2021
The most powerful financial motivator you’ve never heard of
Dec 06, 2021
Navigating the uncertainty around tax changes
Dec 06, 2021
The challenges of remote work will only grow
Dec 05, 2021
A better way to start your business planning
Dec 03, 2021
Nonprofits to focus more on 403(b) savings, less on compliance, costs
Dec 03, 2021
Adidas wins 401(k) lawsuit
Dec 03, 2021
Ritholtz, WisdomTree launch crypto index separate account
Dec 03, 2021
Qualified Plan Advisors launches pooled employer plan
Dec 03, 2021
Elizabeth Warren grills Bitcoin miner on climate
Dec 02, 2021
Pershing dives into direct indexing with latest deal
Dec 02, 2021
SEC tensions over crypto regulation emerge at meeting
Dec 02, 2021
Insurance network for RIAs says MYGA is the future for annuity sales
Dec 02, 2021
Behind the veils of direct indexing and ESG portfolio management
Dec 02, 2021
Helping investors cut through the noise of ESG investing
Dec 02, 2021
Hightower firm acquires a $340 million RIA
Dec 02, 2021
FSC reps managing $230 million switch to LPL
Dec 02, 2021
Raymond James adds $670 million team in South Carolina
Dec 02, 2021
State Street cuts fees to grab more bond ETF flows
Dec 01, 2021
Experts downplay need for universal ESG standards
Dec 01, 2021
Fidelity heads to Canada with Bitcoin ETF
Dec 01, 2021
Reimagining retirement income.
Dec 01, 2021
Who will win the 401(k) battle in the 2020s?
Dec 01, 2021
ESG market controlled by a few big investors
Dec 01, 2021
Aspiriant acquires $350 million San Diego-based firm
Dec 01, 2021
Mariner buys $393 million Phoenix-based firm
Dec 01, 2021
University of Miami inks $1.9M settlement over retirement plans
Dec 01, 2021
CI Financial adds $615 million Matrix Capital Advisors
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