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Site Map for October 2022
Date
Title
Oct 31, 2022
Which beneficiaries are subject to RMDs by year-end?
Oct 31, 2022
Junk-bond ETF sees almost $1 billion of inflows ahead of Fed
Oct 31, 2022
On his way to jail, fraudster rips off brokerages
Oct 31, 2022
Oppenheimer moves to cancel $36.7 million arbitration decision
Oct 31, 2022
Liquid alts funds see inflows while mutual funds see record outflows
Oct 31, 2022
Are I bonds a fad or a worthy investment?
Oct 31, 2022
Impax's Joe Keefe on ESG challenges and opportunities
Oct 31, 2022
Tech stocks weigh on funds popular with 401(k) plans
Oct 31, 2022
An Explanation of 1031 Exchanges
Oct 31, 2022
Retire Inspired
Oct 28, 2022
Democrats won’t lose SEC majority on election night
Oct 28, 2022
Fintech Bytes: Robo-adviser launches university, Orion boosts marketing
Oct 28, 2022
Twitter hysteria over Musk ownership has advisers reassessing value of the platform
Oct 28, 2022
Restricting advisers' independent contractor status is a no-win for everyone
Oct 28, 2022
LPL sees demand for yield products amid down market
Oct 28, 2022
Merger to create mega life insurance marketing organization
Oct 28, 2022
Capital Group launches 3 actively managed fixed-income funds
Oct 28, 2022
States where investors have the most interest in cryptocurrency
Oct 27, 2022
Private Advisor Group introduces Orion-powered investment platform
Oct 27, 2022
Schwab sets date to transition advisers, clients and assets from TD Ameritrade
Oct 27, 2022
UBS team managing $1.7 billion joins RBC
Oct 27, 2022
SEI revenue falls with markets and loss of Retirement Planners of America
Oct 27, 2022
Some advisers welcome increased regulatory scrutiny of outsourcing
Oct 27, 2022
International CFP standards group names new CEO
Oct 27, 2022
Merrill adds premium outside manager service
Oct 27, 2022
Shared responsibility for winning diverse talent and clients will reap shared results
Oct 27, 2022
Raymond James shares pop on strong wealth management earnings
Oct 27, 2022
Anti-ESG fight has come to retail investors
Oct 27, 2022
Annuity sales soared again in third quarter
Oct 27, 2022
Nuveen bulks up private equity and private credit business with deal for Arcmont
Oct 27, 2022
Credit Suisse stock sinks on restructuring plan
Oct 27, 2022
Americans expect to work longer, save more for retirement, survey shows
Oct 26, 2022
Rush to buy I bonds overwhelms Treasury website
Oct 26, 2022
Deciphering a cryptic letter from Social Security
Oct 26, 2022
Maine practice managing $170 million opts for Arkadios
Oct 26, 2022
Divided SEC proposes new requirements for investment adviser outsourcing
Oct 26, 2022
Financial services firms leave billions on the table by overlooking women investors
Oct 26, 2022
Ameriprise reports more adviser hiring in third quarter
Oct 26, 2022
Dividend ETFs see record $50 billion allocation bonanza so far this year
Oct 26, 2022
How advisers should navigate this bear market
Oct 26, 2022
Federal court orders company and its owner to repay 401(k) plan
Oct 26, 2022
Truist advisers managing $446 million depart for D.A. Davidson
Oct 26, 2022
Foundations stepped up and opened pocketbooks during pandemic
Oct 26, 2022
Premium fees and so-so returns on some ‘ESG’ funds
Oct 26, 2022
30-year fixed mortgage rises to 7.16%, marking 10th straight increase
Oct 26, 2022
The stock market’s biggest tricks and treats
Oct 26, 2022
Top 529 college savings plans in 2022
Oct 25, 2022
Merrill adviser family managing $540 million moves to RBC
Oct 25, 2022
Overlooked and underestimated, Asian women are more than ready to advance in the advisory industry
Oct 25, 2022
Rising above minutiae can offer new view of opportunities
Oct 25, 2022
NAPFA names Leslie Stokes interim CEO
Oct 25, 2022
Fidelity will pay for undergraduate degrees of its customer service reps
Oct 25, 2022
Finra develops searchable rulebook to help brokerages navigate compliance
Oct 25, 2022
Clock is ticking on 9.62% I bond yields
Oct 25, 2022
UBS points to financial adviser hiring in reporting results
Oct 25, 2022
Reimagine retirement by focusing on 'future self,' new book urges
Oct 25, 2022
The Coterie eyes tech's young and wealthy
Oct 25, 2022
Fed prepares to roll out another super-sized rate hike in early November
Oct 25, 2022
Find women where they are to win midlife talent
Oct 25, 2022
What women clients want
Oct 24, 2022
Big firms propelled soaring profits for RIAs in 2021
Oct 24, 2022
Gensler says final rule on climate disclosure is not imminent
Oct 24, 2022
Advisers still behind on digital account opening, industry leaders say
Oct 24, 2022
Fidelity ramps up efforts to offer direct indexing through financial advisers
Oct 24, 2022
Majority of workers say they're behind on saving for retirement
Oct 24, 2022
Cetera takes minority stake in $2.5 billion firm
Oct 24, 2022
BNY hires head of responsible investing from Neuberger
Oct 24, 2022
Democrats urge JP Morgan, Wells Fargo to cease funding of anti-ESG group
Oct 24, 2022
Four states move to shut down investment scheme tied to metaverse casinos
Oct 24, 2022
The growth mindset: A cult or the key to evolving your advisory practice?
Oct 24, 2022
Bond market doesn't see volatility fading away anytime soon
Oct 24, 2022
UBS intrigue pits CEO against a rising star
Oct 24, 2022
High stakes in midterm elections
Oct 24, 2022
Midterm elections a matter of personal politics for financial advisers
Oct 24, 2022
Independent advisers are not gig workers
Oct 21, 2022
Merrill team managing $564 million goes indie with Sanctuary Wealth
Oct 21, 2022
IRS boosts 401(k) contribution limit by record amount amid inflation
Oct 21, 2022
Finra smacks Raymond James with $1.15 million penalty over compliance shortcomings
Oct 21, 2022
M&A activity continues to weather perfect storm of negative factors
Oct 21, 2022
Tiedemann SPAC deal clears major hurdle to listing
Oct 21, 2022
Riskalyze CEO teases new company name as fintech moves beyond risk assessment
Oct 21, 2022
Inflation adjustment boosts IRS standard deduction, lifting take-home pay
Oct 20, 2022
The latest in financial #AdviserTech — October 2022
Oct 20, 2022
Republicans, Democrats could agree on some adviser issues after midterm elections
Oct 20, 2022
Investment scams targeting the elderly surge, government agency reports
Oct 20, 2022
Raymond James nets Wells duo managing $328 million
Oct 20, 2022
Employees need help generating income in retirement
Oct 20, 2022
R.J. Moore stepping down as CEO of Private Advisor Group
Oct 20, 2022
Alaska slaps ‘adviser’ with $7.4 million in penalties
Oct 20, 2022
Mercer Advisors hires president to help guide RIA to next level
Oct 19, 2022
IRS gives more clarity on how to report digital assets
Oct 19, 2022
Standard to buy Securian's record-keeping business
Oct 19, 2022
Stock slump has rich rethinking retirement, Natixis survey shows
Oct 19, 2022
Swamped by legal costs, broker-dealer files for bankruptcy protection
Oct 19, 2022
ETF would give retail access to catastrophe bonds
Oct 19, 2022
BlackRock adds energy transition unit
Oct 19, 2022
Captrust adds $900 million in pension assets with acquisition of Patriot Pension Advisors
Oct 19, 2022
Why advisers should go all in on niche markets
Oct 19, 2022
Sequoia Financial sells another minority stake to private equity investors
Oct 18, 2022
eMoney provides fintech update at virtual Summit
Oct 18, 2022
Benefits may run out faster due to Social Security COLA increase
Oct 18, 2022
House GOP uses SEC comment glitch to question agency's agenda
Oct 18, 2022
Lead broker-dealer seller of GWG L bonds sues its insurers
Oct 18, 2022
Envestnet rolls out program that lets advisers see how they measure up against peers
Oct 18, 2022
FiNet adviser managing $192 million switches to LPL
Oct 18, 2022
Goldman realigns business units as Q3 beats estimates
Oct 18, 2022
SEC bars California adviser, imposes $400,000 penalty
Oct 18, 2022
Shundrawn Thomas speaks out about his departure from Northern Trust
Oct 18, 2022
10 of the greatest unretirements of all time
Oct 17, 2022
How is a household like a hedge fund?
Oct 17, 2022
What’s new for Medicare open enrollment
Oct 17, 2022
Merrill achieves record third quarter despite market volatility
Oct 17, 2022
Market sell-off puts mutual funds on track for $1 trillion of outflows in 2022
Oct 17, 2022
Sustainable Leaders files for energy transition ETF
Oct 17, 2022
UBS nabs $1 billion Morgan Stanley trio
Oct 17, 2022
BofA beats loan-revenue estimates amid rising rates
Oct 17, 2022
ESG group takes aim at Vanguard over stewardship
Oct 17, 2022
Goldman plans major reorganization
Oct 17, 2022
How Does Real Estate Fit Into a Retirement Income Plan?
Oct 14, 2022
Amid 2022 slowdown, RIA and tech SPAC deals sputter
Oct 14, 2022
Fintech Bytes: Morgan Stanley AI, Docupace hires Lori Hardwick, and Franklin Templeton integrates LifeYield
Oct 14, 2022
$600 million Wells Fargo team moves to RBC
Oct 14, 2022
Morgan Stanley CEO hints at job cuts
Oct 14, 2022
Morgan Stanley rides wealth management as a third-quarter highlight
Oct 14, 2022
Wells Fargo's advisers maintain revenue despite difficult markets, shrinking head count
Oct 14, 2022
Creative deal structures keep M&A volume high, but for how long?
Oct 14, 2022
JPMorgan posts highest net interest income ever in Q3, raises guidance for year
Oct 13, 2022
Financial industry must persuade determined DOL to protect independent-contractor advisers
Oct 13, 2022
Daughter of New York Ponzi schemer gets more than 6 years in prison
Oct 13, 2022
Schwab responds to investor activism by giving fund shareholders more say in proxy voting
Oct 13, 2022
Prospera Financial names Tarah Williams president
Oct 13, 2022
Satisfaction down, regret up for insurance and annuity owners, says J.D. Power study
Oct 13, 2022
Mega Merrill team managing $4.5 billion goes RIA
Oct 13, 2022
SageView to acquire $415 million RIA
Oct 13, 2022
Merrill duo managing $350 million moves to UBS
Oct 13, 2022
Social Security announces 8.7% COLA for 2023
Oct 12, 2022
Betterment's crypto portfolios include allocations to Dogecoin
Oct 12, 2022
Finra slaps $5,000 fine on ex-broker in first Reg BI enforcement action
Oct 12, 2022
The road to loyalty is paved with exceptional customer experiences
Oct 12, 2022
Reimagining wealth through my mother's eyes
Oct 12, 2022
Advice industry tilts toward model portfolios as surest path to building scale
Oct 12, 2022
Inflation roiling retirees, especially boomers, says Goldman survey
Oct 12, 2022
Simplify donates ETF’s $100,000 net profit to cancer group
Oct 12, 2022
US core inflation set to return to four-decade high
Oct 11, 2022
Baird team managing $2.9 billion jumps to Raymond James
Oct 11, 2022
Year-end tax planning for retirees
Oct 11, 2022
Four Raymond James reps managing $375 million go indie with LPL
Oct 11, 2022
Diverse voices drive employees' engagement with financial benefits – and beyond
Oct 11, 2022
XYPN Live celebrates growth of fee-for-service financial planning
Oct 11, 2022
Here’s why organic growth still drives the advice industry
Oct 11, 2022
More millennials turning to alternative investments to fund their futures
Oct 11, 2022
Edward Jones adviser managing $331 million opts for Ameriprise
Oct 11, 2022
Billion-dollar Merrill team bolts
Oct 11, 2022
Procrastinating Americans putting off estate plans, says D.A. Davidson survey
Oct 10, 2022
SEC's technical glitch won’t slow rulemaking, experts say
Oct 10, 2022
Rising interest rates make cash management fun again
Oct 10, 2022
Financial adviser guilty of fraud in case related to client's murder
Oct 10, 2022
All things capital markets with T. Rowe Price's Tim Murray
Oct 10, 2022
The IRS answers a crucial penalty question for missed RMDs
Oct 10, 2022
Schwab loses adviser fintech leader Jon Patullo to Apex
Oct 10, 2022
Ben Bernanke, two colleagues awarded Nobel Prize in Economics
Oct 10, 2022
A marketing conundrum
Oct 10, 2022
The ‘best’ way to pay for advice
Oct 10, 2022
State regulators look to keep pace with SEC marketing rule
Oct 10, 2022
Turning an ESG Conversation into E, S & G Conversations
Oct 07, 2022
DOL set to finalize ESG rule for retirement plans
Oct 07, 2022
Strong job market not enough to calm nervous employees
Oct 07, 2022
Fintech Bytes: FMG launches marketing tool, Riskalyze integrates with financial planning startup
Oct 07, 2022
Joe Biden lights up marijuana stocks
Oct 07, 2022
Morgan Stanley advisers managing $1.4 billion move to UBS
Oct 07, 2022
Credit Suisse offers $3 billion debt buyback to soothe investors
Oct 06, 2022
Hub acquires Northern California-based Quintes
Oct 06, 2022
Billion-dollar Merrill rep goes indie with LPL
Oct 06, 2022
Envestnet adds crypto to Tamarac with two fintech integrations
Oct 06, 2022
New ETFs would package best, worst of Jim Cramer's stock picks
Oct 06, 2022
Finra moving to slimmed down headquarters in D.C.
Oct 06, 2022
Colorado regulators mulling update to guidance on financial planning fees
Oct 06, 2022
Fend off inflation with these strategic tips
Oct 05, 2022
Robo-advisers struggling to retain investors in 2022, research finds
Oct 05, 2022
Fidelity, Vanguard join forces to help workers move 401(k)s
Oct 05, 2022
ESG investments move a step closer to strict definitions and certification
Oct 05, 2022
Finra fines Barclays Capital $2 million for best-execution failures
Oct 05, 2022
Mercer Global Advisors adds Cincinnati firm managing $370 million
Oct 05, 2022
Fisher Investments adviser snags Judge's history-making homer
Oct 05, 2022
Closing the gap: New network sees potential in client care circles
Oct 05, 2022
5 client personas advisers need to know to build wallet share
Oct 05, 2022
Edelman Financial Engines adds to Northern California presence with $490 million deal
Oct 05, 2022
iShares files for three more ‘ESG aware’ ETFs
Oct 05, 2022
Life insurance can be a valuable asset for seniors battling inflation
Oct 05, 2022
Vanguard gaining ground on BlackRock in the $6 trillion US ETF universe
Oct 04, 2022
Market pain boosts case for adding alternatives to retirement accounts
Oct 04, 2022
MAI acquires Florida-based firm, launches retirement business
Oct 04, 2022
Billion-dollar Merrill team joins Raymond James
Oct 04, 2022
Schwab adds 800 funds to no-transaction-fee program
Oct 04, 2022
SEC urged to revise strategic plan to address RIA arbitration, threats to senior investors
Oct 04, 2022
Finra slaps UBS with $2.5 million fine over short-selling violations
Oct 04, 2022
Savant Wealth Management acquires two Iowa-based financial firms
Oct 04, 2022
Figuring out the tax impact on clients' portfolios
Oct 04, 2022
Latest cryptocurrency SMA platform shows bullishness about digital assets
Oct 04, 2022
Concourse Financial names David Perry CEO
Oct 04, 2022
Wealthy shift billions to donor-advised funds to gain tax breaks
Oct 04, 2022
Merit Financial Group acquires Triad Financial Strategies
Oct 04, 2022
Mercer Global Advisors adds $1 billion with deal for Goldstein Munger
Oct 04, 2022
Merrill launches matchmaking service to connect investors and advisers
Oct 03, 2022
Morgan Stanley brings robo-adviser under the ETrade brand name
Oct 03, 2022
Team managing $300 million moves from Cambridge to LPL
Oct 03, 2022
Republicans advocate for retirement investments in private equity, crypto
Oct 03, 2022
As Fed battles inflation, fixed-income investing regains popularity, purpose
Oct 03, 2022
FPA offers course on planning psychology
Oct 03, 2022
Credit Suisse fears fail to rattle US wealth management market, for now
Oct 03, 2022
ARK puts crypto strategies on Eaglebrook’s SMA platform
Oct 03, 2022
Here's what your clients need to ask themselves before retiring
Oct 03, 2022
Advice-only financial planning is in demand
Oct 03, 2022
SEC fines Kim Kardashian $1.26 million for endorsing crypto token on Instagram
Oct 03, 2022
Credit Suisse attempts to reassure markets backfire as stock hits fresh low
Oct 03, 2022
3 Questions to Ask Retirement Clients About Their Real Estate Investments
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