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Site Map for April 2022
Date
Title
Apr 30, 2022
Popular retirement funds suffer as tech stocks plunge
Apr 29, 2022
Billion-dollar adviser accuses JPMorgan of misogyny
Apr 29, 2022
Envestnet president Stuart DePina expected to depart
Apr 29, 2022
Finra arbitrators order Cetera to pay fired broker $3 million
Apr 29, 2022
Bond market 'bloodbath' opens a door for income investors
Apr 29, 2022
LPL crosses 20,000 adviser head count, probes small-firm M&A market
Apr 29, 2022
Cetera creates preprogrammed client events for advisers
Apr 29, 2022
KraneShares adds carbon-offset ETF
Apr 29, 2022
Increasingly depressed employees batter bottom lines, study says
Apr 29, 2022
Schwab lets DIY clients see MSCI ESG stock ratings
Apr 29, 2022
Pimco's Kiesel who called housing top and bottom says it's time to sell
Apr 28, 2022
Crypto bill in House would limit SEC's jurisdiction over exchanges
Apr 28, 2022
Advisers are thrilled about Elon Musk’s bid to buy Twitter
Apr 28, 2022
Former Merrill adviser assigned to rehabilitation after racist rant
Apr 28, 2022
Democratic senators want to help workers with decision on pension plan buyouts
Apr 28, 2022
Onyx poised to launch with dual differentiators: Diversity and cost efficiency
Apr 28, 2022
Prospera creates program matching practice buyers, sellers
Apr 28, 2022
Raymond James eyes interest rates, hits new high on adviser head count
Apr 28, 2022
Americans still confident about retirement, survey says
Apr 28, 2022
ESG ETF flows down in Q1
Apr 28, 2022
Employers fret about retirement income
Apr 28, 2022
Global bonds set for worst ever month before burst of rate hikes
Apr 27, 2022
Focus on greenwashing obscures bigger problem of complacency
Apr 27, 2022
Florida's financial literacy push is a teaching moment for advisers
Apr 27, 2022
BlackRock pushes three investing themes
Apr 27, 2022
Finra dings Berthel Fisher for poor supervision of options trades
Apr 27, 2022
People's United Bank joins LPL platform
Apr 27, 2022
UBS fined $350,000 for failing to report certain trades
Apr 27, 2022
Robinhood cutting 9% of full-time staff as ‘hyper growth’ ebbs
Apr 27, 2022
Archegos founder Bill Hwang hit with criminal charges
Apr 27, 2022
Edelman hires Goldman exec as CFO
Apr 26, 2022
In race to digital transformation, wealth managers need to catch up
Apr 26, 2022
Advisers cautiously upbeat about crypto 401(k) investing with Fidelity imprimatur
Apr 26, 2022
Ameriprise keeps hiring advisers
Apr 26, 2022
Snowden Lane Partners hires trio managing $350 million
Apr 26, 2022
Texas rep managing $265 million joins LPL from B. Riley
Apr 26, 2022
Merrill’s digital chief joins LPL as chief product officer
Apr 26, 2022
Bitcoin ‘stuck at the moment’ as record cash flees crypto ETFs
Apr 26, 2022
Fidelity unveils crypto option for 401(k) plans
Apr 26, 2022
UBS taking ‘close look’ at US as Asia wealth business slows
Apr 25, 2022
Raymond James adds team that managed $340 million at Merrill
Apr 25, 2022
Asset management firm tussles with founder over use of track record
Apr 25, 2022
Advisers, brokers to continue paying Tennessee tax
Apr 25, 2022
FPA brings back virtual externship program
Apr 25, 2022
Clean Harbors latest in shower of April ERISA cases, decisions
Apr 25, 2022
Discussing the Schwab-TD Ameritrade merger with Tom Bradley
Apr 25, 2022
Wall Street firms make crypto push to catch up with ‘cool kids’
Apr 25, 2022
S&P 500 ready to join bear market, says Morgan Stanley
Apr 25, 2022
Get to know the new IAR continuing education requirement
Apr 22, 2022
Social Security spousal benefits options
Apr 22, 2022
California RIA firm employee arrested in double homicide
Apr 22, 2022
Finra tells firms to step up oversight of sales of liquid alts
Apr 22, 2022
Volatility, recession top investor fears, study finds
Apr 22, 2022
LA broker at lead firm that sold GWG bonds hit with complaints
Apr 22, 2022
Finra bans former Ameriprise rep over reimbursements
Apr 22, 2022
The most seasoned advisers show no signs of slowing down — or retiring
Apr 22, 2022
Game over for millennials seeking to retire early
Apr 21, 2022
FSI, FPA fight state-level taxes on financial advisers
Apr 21, 2022
Altruist to launch direct indexing model portfolio
Apr 21, 2022
LPL share price soars to record high
Apr 21, 2022
Estate plans now adding digital content, tools, says survey
Apr 21, 2022
Stifel rep managing $410 million moves to LPL’s employee channel
Apr 21, 2022
Despite big Q1, pace of RIA consolidation seen slowing in 2022
Apr 21, 2022
Millennials push growth in impact investing
Apr 21, 2022
Credit Suisse US pension work may be imperiled
Apr 20, 2022
Your RMD questions answered
Apr 20, 2022
CFPs take annual fee increase in stride
Apr 20, 2022
Alternatives become bigger slice of client portfolios as advisers seek shelter
Apr 20, 2022
GWG blames SEC investigation of brokers for its collapse
Apr 20, 2022
HGGC forms new company to invest in RIA space
Apr 20, 2022
CAIA introduces specialized alts learning platform
Apr 20, 2022
UBS team managing $270 million joins Sanctuary
Apr 20, 2022
Morgan Stanley duo managing $380 million goes indie with LPL
Apr 20, 2022
GWG Holdings files for bankruptcy
Apr 20, 2022
Independent paths for advisers managing more than $500 million
Apr 19, 2022
Orion buys CRM provider Redtail
Apr 19, 2022
Millennials save for retirement years earlier than boomers
Apr 19, 2022
LPL creates paraplanning unit to help advisers build plans
Apr 19, 2022
Cannabis investments mellow as Congress tarries on decriminalization
Apr 19, 2022
Retirement savers stayed the course in 2021 despite pandemic
Apr 19, 2022
Finra bars no-show rep fired for fake account statements
Apr 19, 2022
Morningstar Office users now can manage held-away accounts
Apr 19, 2022
Blackstone adds to bet on student housing with $13 billion deal
Apr 19, 2022
Former Morgan Stanley adviser accused of Ponzi scheme in SEC suit
Apr 19, 2022
AI can help amid industry consolidation, staffing shortages
Apr 19, 2022
Lessons from journalism: Pay your diverse talent
Apr 18, 2022
Social Security rules when divorcing a younger husband
Apr 18, 2022
SEC freezes assets of alleged $449 million Ponzi schemers
Apr 18, 2022
Mortgage rate spike changes house-hunting strategy
Apr 18, 2022
Former UBS adviser pleads guilty to $5.8 million fraud
Apr 18, 2022
Supreme Court rejects state challenge to SALT deduction cap
Apr 18, 2022
Bank of America wealth group sees head count drop as revenues climb
Apr 18, 2022
Climate funds double in assets: Morningstar
Apr 18, 2022
Knut Rostad clarifies the SEC’s revisions to Form CRS
Apr 18, 2022
Goldman Sachs sees US recession odds at 35% in next two years
Apr 18, 2022
The persistence of remote work
Apr 18, 2022
Into the metaverse
Apr 18, 2022
Has the SEC reached peak politicization?
Apr 15, 2022
The latest in financial #AdviserTech — April 2022
Apr 15, 2022
See It Be It Role Model: Carlos Muñoz
Apr 15, 2022
Industry groups want DOL to withdraw guidance on use of cryptocurrency
Apr 15, 2022
Miami duo managing $400 million moves to Sanctuary from Insigneo
Apr 15, 2022
Advisers searching for new and diverse talent should cast a wider net
Apr 14, 2022
Global X adds green-building ETF
Apr 14, 2022
Do-good funds are booming as ETF launches double from last year
Apr 14, 2022
Revenue per rep rises but head count slips at Wells Fargo Advisors
Apr 14, 2022
Fiduciary advocates raise alarm about SEC limits on term 'fiduciary'
Apr 14, 2022
Morgan Stanley eyes retirement, overseas wealth management opportunities
Apr 14, 2022
Mother-son duo managing $175 million affiliates with LPL
Apr 14, 2022
Edward Jones rep managing $230 million goes indie with Raymond James
Apr 14, 2022
Wells Fargo rolls out new racial equity initiative amid scrutiny
Apr 13, 2022
ESG options would increase 401(k) engagement, survey finds
Apr 13, 2022
Finra arbitrators award former Morgan Stanley broker $900,000
Apr 13, 2022
Advisers weigh the appeal of the commodity rally
Apr 13, 2022
Advisor360 upgrades new-account processing
Apr 13, 2022
The 4 key drivers of RIA consolidation
Apr 13, 2022
First Republic keeps hiring
Apr 13, 2022
Think financial literacy was low? It’s gotten lower
Apr 13, 2022
Dimensional preps low-carbon ETFs
Apr 13, 2022
JPMorgan Q1 results marred by $524 million loss tied to Ukraine
Apr 12, 2022
Fidelity adds two ETFs focusing on crypto, metaverse
Apr 12, 2022
Guideline offers managed SEP IRA
Apr 12, 2022
Integrated Partners affiliate buys firm
Apr 12, 2022
Advisers cheer SECURE 2.0 and renewed focus on retirement savings
Apr 12, 2022
GPB Capital sells another asset, this time land in New Jersey
Apr 12, 2022
Creative Planning adds $644 million in Keystone Wealth Partners deal
Apr 12, 2022
Vanguard to offer financial advice to AmEx credit-card customers
Apr 12, 2022
Envestnet embraces remote work in move from Chicago
Apr 12, 2022
Simon Quick acquires $420 million RIA
Apr 12, 2022
Large retirement plan consultant switches to Triad
Apr 12, 2022
Goldman women pick lawsuit over arbitration but many abstain
Apr 12, 2022
U.S. inflation quickens to 8.5%, ratcheting up pressure on Fed
Apr 12, 2022
Treasury yield surge to threaten bull run’s last resistance line
Apr 11, 2022
Trade associations raise concerns about SEC’s cybersecurity proposal
Apr 11, 2022
Advisers buckle up for more market volatility
Apr 11, 2022
Talking Ronsense, Burt White, and more with Ron Carson
Apr 11, 2022
Edward Jones duo managing $327 million go indie with Raymond James
Apr 11, 2022
10 IBDs with the most annuity revenue
Apr 10, 2022
Dimensional plans four do-good funds in latest ETF expansion
Apr 10, 2022
With bonds in a ‘coma,’ buy commodities: Bridgewater’s Patterson
Apr 09, 2022
NYC won’t open Wells Fargo accounts over racial disparities
Apr 09, 2022
Bank ETF posts biggest cash exodus since 2020 ahead of earnings
Apr 08, 2022
How Vanguard considers ESG risk
Apr 08, 2022
Turn leads into clients with this irresistible marketing strategy
Apr 08, 2022
Trump-era DOL rule for ESG arises in model bill for pensions
Apr 08, 2022
Retirees’ financial confidence outpaces that of workers
Apr 08, 2022
Wells Fargo Advisors fires back in Georgia court dispute over arb decision
Apr 08, 2022
Annuity sales in 2021 hit highest level since 2008
Apr 08, 2022
Why women make great financial advisers
Apr 08, 2022
Capital Group, Morningstar offer personalized TDFs
Apr 08, 2022
Finra smacks National Securities with $663,000 penalty over private placement
Apr 08, 2022
Hightower receives charter for trust company
Apr 08, 2022
JPMorgan kicking off $9 billion of mutual fund-to-ETF switches
Apr 08, 2022
SEC ruling reignites spot US bitcoin ETF approval debate
Apr 08, 2022
Blackstone says alternative assets are headed for your 401(k)
Apr 07, 2022
UBS duo managing $210 million joins Janney
Apr 07, 2022
Made a killing in crypto? Your tax bill is coming due
Apr 07, 2022
UBS wealth unit launches group focused on inclusive investing
Apr 07, 2022
Schroders maps out engagement priorities
Apr 07, 2022
GWG Holdings hit with Nasdaq notice over stock listing
Apr 07, 2022
Ellevest raises $53 million in Series B funding
Apr 07, 2022
Neuberger Berman joins Wall Street ETF rush with thematic funds
Apr 07, 2022
CI Financial will file to take US business public
Apr 07, 2022
JPMorgan says be ready for 40% commodities rally in market shift
Apr 06, 2022
Pelosi adviser among Biden's nominees for SEC commissioner slots
Apr 06, 2022
Fed officials weigh pruning balance sheet by $95 billion a month
Apr 06, 2022
Partisan split dims outlook for retirement bill approved by House panel
Apr 06, 2022
Private equity investors take stakes in CAIS, Mather Group
Apr 06, 2022
Finra bars ex-Cetera rep who used clients’ money for own family's investments
Apr 06, 2022
UBS team managing $360 million moves to LPL
Apr 06, 2022
Hub acquires $1.3 billion plan consultant
Apr 06, 2022
Betting against Bitcoin may get easier with futures ETF filing
Apr 06, 2022
Creative Planning acquires $440 million Arizona firm
Apr 06, 2022
Global bond sell-off deepens as Fed steps up tightening rhetoric
Apr 05, 2022
Black Americans more engaged with investing, especially outside the mainstream
Apr 05, 2022
Democrat Joe Manchin opposes SEC’s climate proposal
Apr 05, 2022
Millennium Trust enters HSA market with purchase of PayFlex
Apr 05, 2022
Creative Planning buys $1.9 billion RIA, New Orleans-based Resource Management
Apr 05, 2022
Ex-BofA employees among 6 banned by Fed over Covid loan fraud
Apr 05, 2022
Flat fees gain traction among advisers critical of asset-based pricing
Apr 05, 2022
Wells Fargo agrees to pay $32.5 million to settle 401(k) lawsuit
Apr 05, 2022
Merit Financial acquires two Colorado firms
Apr 05, 2022
The limits of value-at-risk models
Apr 05, 2022
Burt White moves from LPL to Carson Group
Apr 05, 2022
State Street launches active muni ESG fund
Apr 04, 2022
Morgan Stanley rep managing $260 million goes to Linsco
Apr 04, 2022
10 IBDs with the highest average payouts
Apr 04, 2022
Supreme Court ruling could add uncertainty in Finra arbitration
Apr 04, 2022
WA Asset Management acquires $270 million RIA
Apr 04, 2022
GWG prepping for bankruptcy: Sources
Apr 04, 2022
Texas bank team managing $483 million affiliates with Ameriprise
Apr 04, 2022
Thematic fund taps into rising interest rates
Apr 04, 2022
Tackling the billion-dollar tax questions
Apr 04, 2022
Diversity, Equity & Inclusion 2022 Lifetime Achievement Winner: Eddie C. Brown
Apr 04, 2022
Introducing the 2022 Excellence in Diversity, Equity & Inclusion honorees
Apr 04, 2022
Homrich Berg adds $1.3 billion Atlanta-area RIA
Apr 04, 2022
Our industry is not reading the room
Apr 04, 2022
The challenge of standing in a giant’s shadow
Apr 01, 2022
Social Security rules when widows remarry
Apr 01, 2022
Manning & Napier goes private, sells at 41% premium to Callodine
Apr 01, 2022
American Century's Avantis adds ESG ETFs
Apr 01, 2022
Court orders former investment adviser to pay $530,000 in fraud case
Apr 01, 2022
Morningstar ranks best and worst robo-advisers
Apr 01, 2022
BlackRock cuts fees on biggest bond ETF, takes ax to expenses on two stock ETFs
Apr 01, 2022
How Biden's billionaire tax would hit the wealthy
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