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Site Map for March 2022
Date
Title
Mar 31, 2022
Robinhood nears debut of retirement accounts
Mar 31, 2022
Court dismisses ERISA case against Principal
Mar 31, 2022
Massachusetts judge strikes down state’s fiduciary rule
Mar 31, 2022
Schwab launches direct indexing
Mar 31, 2022
J.P. Morgan's remote advice offering takes shape
Mar 31, 2022
LPL adds SMAs to model wealth platform
Mar 31, 2022
Hightower takes stake in $2.7 billion RIA
Mar 31, 2022
First Eagle Investments to acquire Napier Park Global Capital
Mar 31, 2022
Morgan Stanley spins off $15 billion RIA business
Mar 31, 2022
Net contributions to target-date funds topped $170 billion in 2021
Mar 30, 2022
ESG, Reg BI top SEC’s examination priorities
Mar 30, 2022
Taxing financial planning services is not the answer
Mar 30, 2022
Women-owned $220 million hybrid shifts to Commonwealth from Triad
Mar 30, 2022
SEC emphasizes weighing costs of account recommendations
Mar 30, 2022
Will 2022 see an RIA white whale — a mega mega-deal?
Mar 30, 2022
Cresset hires advisers managing $800 million
Mar 30, 2022
Daughter of convicted adviser pleads guilty to fraud
Mar 30, 2022
Financial help a top concern for aspiring advisers
Mar 30, 2022
SEC plans to curb bullish SPAC forecasts and add more disclosures
Mar 30, 2022
Attracting new clients is the key to increasing value
Mar 30, 2022
Riskalyze doubles down on fixed-income analysis
Mar 30, 2022
Payout grids for independent broker-dealers
Mar 30, 2022
Helping clients tune out 'investment noise'
Mar 29, 2022
House approves SECURE 2.0 with strong bipartisan vote
Mar 29, 2022
Senate HELP Chair Murray promises bipartisan retirement savings bill soon
Mar 29, 2022
Goldman Sachs to acquire retirement plan robo NextCapital
Mar 29, 2022
Advisers place little faith in Biden's 'billionaire tax'
Mar 29, 2022
Orion launches platform for services and M&A connections
Mar 29, 2022
Raymond James adds Merrill pair with $353 million in assets
Mar 29, 2022
Training can make financial advisers indispensable to UHNW families
Mar 29, 2022
Chubb faces new kind of shareholder vote over fossil fuels
Mar 29, 2022
Creative Planning acquires $1.8 billion RIA
Mar 29, 2022
AIG files for IPO of life and retirement business
Mar 29, 2022
Federal Reserve pivots toward jumbo hikes after being slammed as too slow
Mar 29, 2022
Exclusive: Morgan Stanley lays out plans to enter the ETF market
Mar 28, 2022
Team with $240 million in assets joins Arkadios from Securities America
Mar 28, 2022
Pennsylvania RIA loses to SEC in 12b-1 fee trial
Mar 28, 2022
Robinhood debuts debit card after settling with state regulators
Mar 28, 2022
What to make of the SEC's 510-page climate proposal
Mar 28, 2022
Edward Jones rep managing $135 million goes indie with Raymond James
Mar 28, 2022
UBS duo managing $265 million goes indie with LPL
Mar 28, 2022
BlackRock to manage up to $150 billion in AIG portfolios
Mar 28, 2022
'The Morgan Stanley fade': US probe dredges up years of animus
Mar 28, 2022
Vanguard stumbles as it shifts from cult of Jack Bogle
Mar 28, 2022
Biden to propose 20% tax aimed at billionaires
Mar 25, 2022
Mom and pop buying fewer muni bonds directly
Mar 25, 2022
Fed tightening puts mortgage planning back on the table
Mar 25, 2022
Wendy Williams demands her money from Wells Fargo, financial adviser
Mar 25, 2022
London Stock Exchange's $1.1 billion deal could boost tech in the US
Mar 25, 2022
Allworth Financial acquires $991 million St. Louis RIA
Mar 25, 2022
HSA assets hit $100 billion
Mar 25, 2022
Protecting vulnerable people from financial fraud
Mar 25, 2022
Senators seek better spousal protections in DC plans
Mar 25, 2022
Goldman to vote against companies not disclosing greenhouse gas emissions data
Mar 25, 2022
JPMorgan agrees to racial-equity audit for $30 billion effort
Mar 24, 2022
The new IRS 10-year RMD rule isn't what we thought it was
Mar 24, 2022
Cetera adds team that managed $327 million at LPL
Mar 24, 2022
Oppenheimer launches updated prospecting platform
Mar 24, 2022
Building a planning niche among the gay community requires a nimble perspective
Mar 24, 2022
Jury finds ex-LPL broker liable in fraudulent sale of annuities
Mar 24, 2022
Finra expels Alpine Securities
Mar 24, 2022
Edward Johnson III, fund pioneer at Fidelity, dies at 91
Mar 24, 2022
ISS adds water risk ratings
Mar 24, 2022
Fidelity launches business mimicking hedge-fund strategies
Mar 24, 2022
BlackRock’s Larry Fink says war to speed shift to green energy, digital currencies
Mar 23, 2022
The ‘Great Retirement’ disconnect that puzzles economists
Mar 23, 2022
Inflation a concern for those approaching retirement
Mar 23, 2022
Tax planning for new retirees
Mar 23, 2022
Niche practice designed around women leaves nothing to chance
Mar 23, 2022
Raymond James nabs Edward Jones adviser managing $275 million in California
Mar 23, 2022
Estate planning fintech Wealth lands $16 million in funding
Mar 23, 2022
B-Ds flubbed sales of GPB private placements: Finra
Mar 23, 2022
Avantax adds $200 million LPL team in Las Vegas
Mar 23, 2022
UBS will allow some US employees to work remotely full-time
Mar 23, 2022
Massachusetts slaps crypto firm with $1 million fine
Mar 23, 2022
For-profits ahead of nonprofits on ESG
Mar 23, 2022
This is now the worst drawdown on record for global fixed income
Mar 22, 2022
J.P. Morgan adds retirement spending tool to target-date funds
Mar 22, 2022
Advisers, experts welcome more climate-risk transparency for companies
Mar 22, 2022
SEC moves to mandate Scope 3 emissions reporting
Mar 22, 2022
Morgan Stanley is wirehouse hiring winner in 2021
Mar 22, 2022
Advyzon launches turnkey asset management platform
Mar 22, 2022
LPL nabs $345 million California team from Wells Fargo
Mar 22, 2022
Raymond James adds Morgan Stanley duo managing $175 million
Mar 22, 2022
Tifin Group acquires fintech targeting donor-advised funds
Mar 21, 2022
Morgan Stanley sets 90-day limit on working from home
Mar 21, 2022
The latest in financial #AdviserTech — March 2022
Mar 21, 2022
SEC proposes mandatory climate-risk disclosures for public companies
Mar 21, 2022
How we explain the crypto roller coaster to our clients
Mar 21, 2022
Geneos tagged with $400,000 penalty over alternatives sales
Mar 21, 2022
Voice of reason on Modern Monetary Theory
Mar 21, 2022
Wells Fargo team managing $275 million moves to Baird
Mar 21, 2022
Record proxy season stars are climate and human rights
Mar 21, 2022
Retirement planning is anything but normal in a post-pandemic world
Mar 21, 2022
Keeping the sandwich generation on track for retirement
Mar 20, 2022
See It Be It Role Model: Syed Nishat
Mar 19, 2022
See It Be It Role Model: Lawrence Smith
Mar 18, 2022
Irwin hopes securities regulation resonates with Western Pennsylvania voters
Mar 18, 2022
What's America's favorite TAMP of 2022?
Mar 18, 2022
Financial advisers starting to view economic outlook as a glass half empty
Mar 18, 2022
Robinhood settles with Vermont for $640,000 over outages
Mar 18, 2022
Two years later, financial services firms still searching for balance on remote work
Mar 18, 2022
Sanctuary Wealth takes stake in $400 million Indianapolis RIA
Mar 18, 2022
Robo adds fossil fuel-free 401(k) for small businesses
Mar 17, 2022
SageView partners with Pontera to help advisers manage held-away accounts
Mar 17, 2022
Robinhood readies feature that lets users lend out stocks
Mar 17, 2022
Senate Banking Chair warns about private equity ownership of insurance companies
Mar 17, 2022
SEC's Gensler takes aim at robo-adviser investing strategies
Mar 17, 2022
Fired Merrill broker who threw smoothie lands at Aegis Capital
Mar 17, 2022
Private Advisor Group buys $1.86 billion Minnesota RIA
Mar 17, 2022
World Insurance Associates buys Pensionmark Financial Group
Mar 17, 2022
SEC obtains judgment against Ohio adviser who defrauded investors
Mar 17, 2022
Should private equity be in 401(k) plans?
Mar 16, 2022
Finra board approves remote-inspection proposals, sends them to SEC
Mar 16, 2022
JPMorgan to buy share-plan software company
Mar 16, 2022
Fed lifts rates a quarter point in opening bid to curb inflation
Mar 16, 2022
Want to buy a Banksy? This fintech has an answer
Mar 16, 2022
Kitces, LPL exec agree on need for more transparency from RIA custodians
Mar 16, 2022
Wealth Enhancement buys California RIAs
Mar 16, 2022
First rate hike since 2018 has advisers adjusting client portfolios
Mar 16, 2022
Wells Fargo Advisors sees another senior manager leave
Mar 16, 2022
Ex-Wells, LPL broker arrested, charged with stealing more than $500,000 from clients
Mar 16, 2022
Life insurance new premiums up 20% in 2021, setting record
Mar 16, 2022
Raymond James adds Wells duo managing $350 million
Mar 16, 2022
Inflation to boost future retiree health care costs
Mar 15, 2022
Stratos Wealth takes 25% stake in an indie practice
Mar 15, 2022
Suit against Vanguard focuses on big tax bills for target-date funds
Mar 15, 2022
Edward Jones to spend $1 billion on tech in 2022
Mar 15, 2022
IOSCO targets greenwashers
Mar 15, 2022
MSRB ponders ESG disclosure for muni bonds
Mar 15, 2022
Advisers must embrace fintech risks, opportunities to keep up with retailers
Mar 15, 2022
SEC Democratic commissioner Allison Herren Lee plans to leave Wall Street regulator
Mar 15, 2022
SEC warns brokers to be 'vigilant' amid increased market volatility
Mar 15, 2022
Raymond James nabs Edward Jones adviser managing $207 million in Texas
Mar 15, 2022
Largest China tech ETF in U.S. wipes out nine years of gains
Mar 15, 2022
Wells Fargo boosts CEO Scharf's pay 20% for 2021
Mar 14, 2022
Advisers flock to RIAs in the new normal
Mar 14, 2022
How bear markets wreak havoc on succession plans
Mar 14, 2022
Pro bono work gives advisers way to go beyond helping the rich get richer
Mar 14, 2022
Advisers struggle to grow new business: AssetMark
Mar 14, 2022
LPL adds $210 million all-woman team from Voya
Mar 14, 2022
Cetera B-D on hook for $2.66 million arbitration claim stemming from REITs, annuities
Mar 14, 2022
Financial wellness webinars can boost 401(k) contributions
Mar 14, 2022
The Lipper Awards reflect the new normal
Mar 14, 2022
Asset managers request climate disclosure from 10,000 companies
Mar 14, 2022
Fed to start rate hikes this week, with license to move aggressively
Mar 13, 2022
Rising Star: Catalina Franco-Cicero
Mar 13, 2022
Rising Star: Pammi Bhullar
Mar 13, 2022
See It Be It Role Model: Lee Thoresen
Mar 13, 2022
See It Be It Role Model: Mac Gardner
Mar 13, 2022
See It Be It Role Model: Brandon Dixon-James
Mar 13, 2022
See It Be It Role Model: Ankur Crawford
Mar 13, 2022
See It Be It Role Model: Marlōn Hall
Mar 13, 2022
Rising Star: Peggy Haslach
Mar 13, 2022
Rising Star: Mercy Ameyaw
Mar 12, 2022
See It Be It Role Model: Thomas Dedrick
Mar 11, 2022
Brokerages want remote office inspections to be part of new normal
Mar 11, 2022
Helping investors ‘weatherize’ their retirement dollars
Mar 11, 2022
How to improve fiduciary outcomes in a volatile world
Mar 11, 2022
Wealthtech startups look to compete with RIA aggregators
Mar 11, 2022
Disney shareholders want pay gap reports
Mar 11, 2022
Merrill looks to boost hiring of experienced advisers in 2022
Mar 11, 2022
Stock market pullback puts spotlight on Roth conversions
Mar 11, 2022
Gundlach’s DoubleLine gets SEC green light to launch its first ETFs
Mar 11, 2022
Goldman sees US recession risk as high as 35%, cuts forecast
Mar 11, 2022
ETFs find a crisis they can't trade through in Ukraine
Mar 10, 2022
DOL warns 401(k) plan fiduciaries against offering crypto investments
Mar 10, 2022
New ways to communicate are complicating compliance
Mar 10, 2022
Ex-Merrill adviser who threw smoothie wants probation
Mar 10, 2022
Finra seeks comments on possible changes to oversight of complex products
Mar 10, 2022
Wealth Enhancement Group adds $287 million RIA
Mar 10, 2022
SBTi excludes oil and gas companies
Mar 10, 2022
ESG managers press SEC for full emissions disclosure rule
Mar 10, 2022
ICapital tech platform acquires Stifel Financial's alts feeder funds
Mar 10, 2022
Raymond James lands $220 million team from RBC
Mar 10, 2022
Pimco amassed billions of exposure to Russia debt facing default
Mar 10, 2022
Retiring in an age of uncertainty
Mar 10, 2022
T. Rowe Price, Calamos Advisors bring home overall fund company Lipper Awards
Mar 09, 2022
Messaging apps take on Wall Street
Mar 09, 2022
Biden’s digital assets directive fails to provide clarity for advisers
Mar 09, 2022
Avantax boosts forgivable loans to advisers
Mar 09, 2022
CRM provider Wealthbox gets $31 million infusion
Mar 09, 2022
Hub acquires employee-benefit consultant and insurance broker
Mar 09, 2022
Biden aims for coordinated approach to overseeing crypto
Mar 09, 2022
Wells Fargo duo managing $210 million go to LPL
Mar 09, 2022
ESG-reporting startup gets $7 million in seed funding
Mar 09, 2022
Russia’s ESG rating from MSCI goes to lowest level
Mar 09, 2022
Avoiding the post-transition blues
Mar 09, 2022
Excellence in Diversity, Equity & Inclusion Awards
Mar 08, 2022
See It Be It Role Model: Angela Ribuffo
Mar 08, 2022
Pelosi's portfolio performance now wrapped in an ETF
Mar 08, 2022
Onramp Invest regroups after layoffs
Mar 08, 2022
RBC hires UBS adviser with $270 million in assets
Mar 08, 2022
More consolidation to come for Wells Fargo Advisors?
Mar 08, 2022
Finra fines Deutsche Bank $2 million for failing to get best prices for customer orders
Mar 08, 2022
Financial Planning Association taps Carson Group to be its official coach
Mar 08, 2022
One super OSJ affiliated with LPL acquires another
Mar 08, 2022
AIG, Reliance Standard launch index annuities
Mar 08, 2022
Creating connections: How answering the 'why' can attract prospects
Mar 08, 2022
Morgan Stanley CEO says workers staying despite office push
Mar 07, 2022
Robinhood plans spending account service alongside new cash card
Mar 07, 2022
SEC charges barred adviser with fraud
Mar 07, 2022
New retirement guide focuses on longevity, inflation
Mar 07, 2022
SEC promises not to play ‘gotcha’ in early days of new marketing rule
Mar 07, 2022
Despite the hype, future of advice is hybrid: Vanguard
Mar 07, 2022
TCW partners with iCapital to improve access to its alts offerings
Mar 07, 2022
LPL adds $280 million team from Wells Fargo
Mar 07, 2022
Shareholders slammed CEO pay last year. Will 2022 be different?
Mar 07, 2022
The Russian bear and Tyrone Ross on the move
Mar 07, 2022
Vanguard tightens grip on $6.8 trillion ETF market
Mar 07, 2022
UBS has $200 million exposure to Russian assets in loans to rich
Mar 07, 2022
The future of the 401(k) lies with small businesses
Mar 07, 2022
IRS backlog frustrates advisers, clients
Mar 07, 2022
A taxing situation
Mar 07, 2022
As Ukraine fights for its freedom, US firms should watch for Russian hacks
Mar 04, 2022
SEC examines 16% of RIAs, and it's not likely to go higher
Mar 04, 2022
‘Weakening Putin’s regime’: A week of financial activism against Russia
Mar 04, 2022
Fidelity tool aims to make benefits more inclusive
Mar 04, 2022
Big names line up to fund forest carbon marketplace
Mar 04, 2022
LPL kept spending big on recruiting in 2021
Mar 04, 2022
Land O'Lakes settles 401(k) suit for $1.8 million
Mar 03, 2022
Why many advisers need to rethink retirement income
Mar 03, 2022
SEC’s Crenshaw assures advisers agency doesn’t seek to punish cyberattack victims
Mar 03, 2022
Best-performing robo-advisers of 2021
Mar 03, 2022
Schwab goes off script with crypto ETF filing
Mar 03, 2022
Cambridge Investment Research RIA faces SEC charges of misconduct, conflicts
Mar 03, 2022
SEC settles with City National Rochdale over conflicts of interest
Mar 03, 2022
Hub International acquires $8.3 billion RIA
Mar 03, 2022
ESG most popular among young workers in public DC plans: Report
Mar 02, 2022
Arguments for raising Social Security’s full retirement age
Mar 02, 2022
Retirement savings legislation continues to percolate on Capitol Hill
Mar 02, 2022
New Citigroup unit to sell products through independent advisers to wealthy investors
Mar 02, 2022
Hub builds out digital platform with Insureon deal
Mar 02, 2022
Advisor Group B-Ds face slew of GPB claims
Mar 02, 2022
Nationwide creates fee-based variable universal life policy
Mar 02, 2022
Transamerica acquires TAG Resources
Mar 02, 2022
When saying no means everything
Mar 02, 2022
Bluespring Wealth acquires $850 million hybrid
Mar 02, 2022
DOL sues employee benefit plan fiduciaries for over $2.8 million
Mar 02, 2022
Institutions not totally sold on ESG performance
Mar 02, 2022
Women Adviser Summit - Virtual
Mar 01, 2022
SEC's Gensler tweets warning about greenwashing
Mar 01, 2022
Firms overseeing $721 million join AmeriFlex
Mar 01, 2022
Next iteration of DOL fiduciary rule catalyzes lobbying blitz on Capitol Hill
Mar 01, 2022
Mercer Global acquires $230 million RIA
Mar 01, 2022
US warns of potential Russian cyberattacks on wealth managers
Mar 01, 2022
Morningstar’s initial retirement report shows ‘alarming’ DC plan shrinkage
Mar 01, 2022
Wells Fargo Advisors deemed 'vindictive' in arbitration win for adviser
Mar 01, 2022
Janney adds team from Wells Fargo managing $300 million
Mar 01, 2022
Tyrone Ross resigns as CEO of Onramp Invest
Mar 01, 2022
Bitcoin advances in tentative comeback as haven asset
Mar 01, 2022
Creative Planning adds $400 million New York City-based RIA
Mar 01, 2022
Citigroup is latest bank to be probed over unapproved messaging services
Mar 01, 2022
UBS revamps unit for wealthiest clients
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