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Site Map for January 2023
Date
Title
Jan 31, 2023
Inside the mind of the SEC
Jan 31, 2023
Morningstar launches ESG 401(k) designed for small employers
Jan 31, 2023
Wealth Consulting Partners president Gavin Spitzner dies at 57
Jan 31, 2023
Nationwide study shows pandemic impact on retirement expectations
Jan 31, 2023
Legislation lets funds delay redemptions if transfer involves senior abuse
Jan 31, 2023
UBS wealth management Americas adds assets but pace slows in tough 2022
Jan 31, 2023
BNY Mellon plans to launch ETF focusing on innovation space
Jan 31, 2023
AIG interim CFO Lyons fired over confidentiality breach
Jan 31, 2023
DOL’s ESG rule hit with long-shot lawsuit
Jan 31, 2023
Worst states for retirement in 2023
Jan 30, 2023
Plan sponsors, participants agree on value of guaranteed income options
Jan 30, 2023
Expatriate advisor finds a home and client base in France
Jan 30, 2023
BNY Mellon, Wall Street firms find the lure of crypto too strong to resist
Jan 30, 2023
SEC staff finds B-Ds lack policies needed to comply with Reg BI
Jan 30, 2023
Finra bars ex-UBS broker in Texas who sold phony annuities
Jan 30, 2023
Rally in gold revives debate over allocations to the precious metal
Jan 30, 2023
LPL adds Texas advisor managing $180 million
Jan 30, 2023
Is going full equity in portfolios being fiduciarily responsible?
Jan 30, 2023
Goldman cuts CEO Solomon's pay about 30%, to $25 million
Jan 27, 2023
Advisors skeptical about replacing income tax with national sales tax
Jan 27, 2023
Fintech Bytes: Cetera partners with Asset-Map, MSCI goes with Google
Jan 27, 2023
UBS adds two teams from Merrill Lynch
Jan 27, 2023
More advisors are jumping on the bitcoin bandwagon
Jan 27, 2023
Advisor Group firms settle with Finra over 529 plan rollovers
Jan 27, 2023
How advisors can help the 'unretired' with their return to the workforce
Jan 27, 2023
ChatGPT’s ability to make a market-beating ETF is put to the test
Jan 27, 2023
ESG debt pile barreling toward $5 trillion
Jan 27, 2023
2022 saw an annuity explosion: Limra
Jan 27, 2023
Best states for retirement in 2023
Jan 26, 2023
FPA takes CFP Board at its word that it won’t crowd onto association’s turf
Jan 26, 2023
Raymond James record wealth management earnings offset declines in other businesses
Jan 26, 2023
Advisor revenue up at Ameriprise despite lousy year for stocks
Jan 26, 2023
Team of women managing $435 million join Raymond James from UBS
Jan 26, 2023
Morgan Stanley fines bankers over $1 million each for using unapproved messaging platforms
Jan 26, 2023
Transparent gender data paves way for reaping gender-driven results, advocates say
Jan 26, 2023
Portfolio manager providing retirement investors diversification, defense
Jan 26, 2023
Democrats launch sustainable investment caucus
Jan 25, 2023
Cetera to buy Securian’s wealth business
Jan 25, 2023
Popular 401(k) funds off to strong start in 2023
Jan 25, 2023
Vanguard, Schwab Charitable donors keep giving despite stock sell-off
Jan 25, 2023
Morgan Stanley's ETF debut strikes chord with fees, tests market with ESG focus
Jan 25, 2023
SEC proposes new conflicts-of-interest rule aimed at certain securitizations
Jan 25, 2023
8 reasons to consider cash balance plans for business owner clients
Jan 25, 2023
3 reasons I love my career as a financial planner
Jan 25, 2023
Wisconsin advisor pulled $1.9 million fraud on clients
Jan 25, 2023
Does the 60/40 rule need revising given the surge in alts?
Jan 25, 2023
Broadridge adds ESG comparison service
Jan 25, 2023
CFP Board creates separate arm to promote planning careers, hiring of planners
Jan 25, 2023
Bank of America grants employees shares
Jan 25, 2023
Teach your clients well
Jan 24, 2023
Rising interest rates not a killer for RIA M&A
Jan 24, 2023
Advisor CRM founder Ken Golding dies at 62
Jan 24, 2023
Schwab sees increasing tech adoption among RIAs
Jan 24, 2023
Fidelity hopes to bridge the gap between aging advisors and young investors
Jan 24, 2023
Stock plans and advisor access key in attracting, keeping talent: Survey
Jan 24, 2023
Commonwealth adds $230 million team from Advisor Group
Jan 24, 2023
ESG is about quality, not quantity
Jan 24, 2023
LPL adds two tech execs from Bank of America
Jan 24, 2023
Changes advisors expect to make in client portfolios this year
Jan 23, 2023
Bloomberg pays $5 million to settle SEC charges regarding fixed-income valuations
Jan 23, 2023
Recruiting takes a hit in 2022, with moves down 5.3% from 2021
Jan 23, 2023
Two teams of advisors join LPL employee channel
Jan 23, 2023
IARs in 10 states, D.C. must complete continuing education by year-end
Jan 23, 2023
New software aims to reduce risk in target-date funds
Jan 23, 2023
Breaking down Betterment
Jan 23, 2023
Business owners altering retirement plans due to inflation, recession fears: Survey
Jan 23, 2023
What’s new for Social Security and Medicare this year
Jan 23, 2023
SPY celebrates birthday, marking 30 years of ETFs
Jan 23, 2023
Questioning the SEC’s outsourcing proposal
Jan 23, 2023
Is the new generation of nontraded REITs really any better than the last?
Jan 23, 2023
Tribes place generational wealth in their own hands
Jan 20, 2023
Fintech Bytes: Broadridge extends Canadian partnership; startup attracts funding from advisors
Jan 20, 2023
With yields on cash climbing, advisors struggle to keep some clients in stocks
Jan 20, 2023
Clients increase demands to cash out of REITs; KKR latest to hit limits
Jan 20, 2023
FNZ acquires YieldX to accelerate US growth
Jan 19, 2023
Crypto lender Nexo pays $45 million in fines to SEC, states
Jan 19, 2023
Women delaying retirement at higher rate than men
Jan 19, 2023
George Santos, Wall Street and Washington
Jan 19, 2023
Treasury taps retirement funds to avoid breaching debt limit
Jan 19, 2023
DriveWealth CEO departs after eight months
Jan 19, 2023
Financial advisors oppose state-level wealth tax legislation
Jan 19, 2023
Whither the King's kingdom? Elvis fans, estate planners watch carefully
Jan 19, 2023
CI Financial's U.S. RIA enterprise continues to separate from Canadian mother ship
Jan 19, 2023
Total number of CFPs hits new high
Jan 18, 2023
Guaranteed income, advisors are pluses for those heading into retirement
Jan 18, 2023
Ex-LPL broker sentenced to 8 years in prison for fraud
Jan 18, 2023
Principal partners with YieldX, Smartleaf on fixed-income direct indexing
Jan 18, 2023
CFP bans use of credential by advisors accused of neglecting, misleading clients
Jan 18, 2023
Hey, can the SEC really do that?
Jan 18, 2023
Zoe Financial referral program evolves into one-stop practice management platform
Jan 18, 2023
Vegan ETF gets ‘carbon neutral’ rating without credits
Jan 18, 2023
Organic asset growth is health
Jan 18, 2023
Beware of breaching your fiduciary obligations related to client data
Jan 18, 2023
Citi summons unproductive remote workers to office for coaching
Jan 17, 2023
The AI revolution is here
Jan 17, 2023
Advisors downplay prospects for debt default, comfort clients
Jan 17, 2023
Lower revenue from asset and wealth management hurts Goldman earnings
Jan 17, 2023
Bitcoin rally shows cryptocurrency resilience after FTX debacle
Jan 17, 2023
Transamerica revamps Large Core Fund with ESG treatment
Jan 17, 2023
Wealth management shines at Morgan Stanley
Jan 17, 2023
Retirees skipping meals to stretch plummeting savings, survey says
Jan 17, 2023
Touchstone Investments files for ‘climate transition’ ETF
Jan 17, 2023
The latest in financial #AdvisorTech — January 2023
Jan 17, 2023
An interview with industry icon Mark Tibergien
Jan 17, 2023
Commonwealth recruits $1 billion team from Edward Jones
Jan 17, 2023
First Shair Foundation grant winner envisions practice with multigenerational reach
Jan 14, 2023
Nominations for DEI awards are now open!
Jan 13, 2023
BNY Mellon to cut about 3% of staff
Jan 13, 2023
Fierce opponent of DOL fiduciary rule and defender of Reg BI to chair House subcommittee
Jan 13, 2023
Fintech Bytes: Riskalyze lands AE Wealth; 55ip partners with Frontier; Advisor360 acquires wealthtech
Jan 13, 2023
Wells Fargo Advisors ended 2022 with stable advisor head count
Jan 13, 2023
How caregiving costs women their retirement security
Jan 13, 2023
BlackRock invests in Human Interest to expand 401(k) business
Jan 13, 2023
Fidelity tracks M&A trend of more deals involving smaller RIAs
Jan 13, 2023
Merrill still hanging 'Help Wanted' sign for advisors in 2023
Jan 12, 2023
State regulators urge Congress not to expand private securities markets
Jan 12, 2023
Court orders Sugarman to pay $10.2 million for role in defrauding Native American tribe
Jan 12, 2023
Fed policy puts bonds on front burner as advisors see myriad ways to capture yield
Jan 12, 2023
Goldman's Joe Duran reveals roots of money life on Goop
Jan 12, 2023
Plan sponsors, advisors concerned about the economy, study shows
Jan 12, 2023
Team managing $300 million at Securities America joins LPL
Jan 12, 2023
Move past fintech buzzwords toward a proactive wealth management future
Jan 12, 2023
Captrust expands Nashville footprint with $2.3 billion deal
Jan 12, 2023
ESG themes to watch in 2023
Jan 12, 2023
JPMorgan accuses defector to Morgan Stanley of poaching clients
Jan 12, 2023
Effective client conversations: How to address market volatility
Jan 11, 2023
Companies face pressure to offer ESG options in retirement plans
Jan 11, 2023
BlackRock plans to eliminate 500 positions in round of job cuts
Jan 11, 2023
Cetera nabs giant office from Securities America
Jan 11, 2023
Simplification is top reason that investors move retirement assets
Jan 11, 2023
Hungry private equity investors steer acquisitions toward smaller RIAs
Jan 11, 2023
Ben Harrison is suddenly alone at top of Pershing's custody business
Jan 11, 2023
Cerity Partners merges with $4.8 billion ARGI Financial
Jan 11, 2023
Is direct indexing really new or special?
Jan 11, 2023
House votes to repeal funding increase for IRS
Jan 11, 2023
How advisors can take control of their success in 2023
Jan 11, 2023
Industry groups get creative to gain political influence
Jan 11, 2023
Most ridiculous reasons for getting fired in financial services
Jan 11, 2023
Digital media company expands into Wall Street recruiting
Jan 10, 2023
Allworth acquires California firm managing $283 million
Jan 10, 2023
Study on Social Security says it pays to wait for payouts
Jan 10, 2023
Finra keeps focus on Reg BI in 2023 exam report
Jan 10, 2023
Look before leaping into value stocks
Jan 10, 2023
Daniel Moisand begins serving as board chair of CFP
Jan 10, 2023
Vestwell teaming up with Carson Group to expand retirement offering
Jan 10, 2023
Edward Jones advisor managing $256 million joins Raymond James
Jan 10, 2023
Fidelity launches business development company
Jan 10, 2023
Mercer acquires California-based Empyrion Wealth
Jan 09, 2023
Federal proposal to ban noncompete clauses could affect RIA M&A
Jan 09, 2023
MoneyGuide founder Tony Leal departing leadership role at Envestnet
Jan 09, 2023
Tiedemann eyes M&A after SPAC deal forges $60 billion wealth firm
Jan 09, 2023
White-label robo TradingFront terminates US operations
Jan 09, 2023
Morgan Stanley operating chief Jon Pruzan exiting firm
Jan 09, 2023
January jump in divorces offers advisors opportunity to provide value
Jan 09, 2023
New ETF bets on companies led by women
Jan 09, 2023
Smoothie-throwing broker under microscope for cash transactions
Jan 09, 2023
A deep dive into uncompensated versus compensated risk
Jan 09, 2023
The question most advisors aren't asking clients about their financial future
Jan 09, 2023
DWS readies ‘climate action’ ETF
Jan 09, 2023
Arizona advisor managing $200 million joins LPL from Cambridge
Jan 09, 2023
Two cheers for the SECURE 2.0 Act
Jan 09, 2023
Don’t say ‘No’ to the ‘O’
Jan 09, 2023
RMD quirks that IRA beneficiaries face in '23
Jan 09, 2023
Here’s how inflation and philanthropy could give women a boost in ’23
Jan 09, 2023
Gary Gensler’s SEC agenda faces steep GOP opposition
Jan 09, 2023
Finding potential upside in markets and the economy
Jan 09, 2023
Expect giant branch offices at IBDs to flex their muscle
Jan 09, 2023
Growth or flexibility? Fintechs must choose
Jan 09, 2023
Handicapping sequence risk and recession for the retirement set
Jan 06, 2023
FTC proposes ban on noncompete contracts
Jan 06, 2023
Former Fidelity broker may revive career after arbitration win
Jan 06, 2023
Vanguard's efforts to navigate politics of ESG could be blueprint for others
Jan 06, 2023
Vanguard expert offers tips on hardship withdrawals
Jan 06, 2023
Prime Capital buys sustainable investment RIA
Jan 06, 2023
EP Wealth acquires Maine firm managing $347 million
Jan 05, 2023
Before FTX collapsed, it was targeting retirement accounts
Jan 05, 2023
ESG has DOL's blessing. Here's what can happen next in 401(k)s
Jan 05, 2023
New regulatory agenda sets April, October deadlines for SEC ESG rules
Jan 05, 2023
LPL shares remain analyst's top pick in 2023
Jan 05, 2023
James Lee begins term as 2023 FPA president
Jan 05, 2023
Focus Financial partner deal expands access to alternative investments
Jan 05, 2023
Advisors, plan sponsors dig into the many, many provisions of SECURE 2.0
Jan 05, 2023
After rough ride in '22, 60/40 portfolio looks poised for solid '23
Jan 05, 2023
Protect against the sequence of return risk
Jan 05, 2023
Playing the long game is key to navigating market uncertainty
Jan 04, 2023
Opaque business models cloud women’s way in advisory business
Jan 04, 2023
Finra proposes to Illuminate arbitrator selection process
Jan 04, 2023
Tom Naratil one of four nominees to Envestnet board in escalating proxy contest
Jan 04, 2023
Alvarium Tiedemann shares drop on first day of trading
Jan 04, 2023
Coinbase agrees to pay $100 million to settle compliance investigation
Jan 04, 2023
Raymond James adds Tennessee team managing $832 million
Jan 04, 2023
Janney hires industry vet Yackel to run wealth management
Jan 04, 2023
Investing novices call the shots on $4 trillion at public pensions
Jan 04, 2023
How to avoid being the next Southwest Airlines
Jan 04, 2023
How to scale and avoid disclosure violations using automation
Jan 04, 2023
Alera Group continues aggressive acquisition pace with $2.8 billion deal
Jan 04, 2023
BlackRock, Citigroup among firms named as fossil-fuel boycotters by Kentucky
Jan 03, 2023
Financial advisors see lessons in forgettable 2022 for investors
Jan 03, 2023
SEC meets strong industry resistance on advisor outsourcing proposal
Jan 03, 2023
Finra smacked 15 firms over GPB sales in 2022
Jan 03, 2023
Bob Doll's predictions for 2023 paint less scary picture of year ahead
Jan 03, 2023
Blackstone's BREIT gets $4 billion boost from University of California
Jan 03, 2023
Inflation lets wealthy Americans give heirs even more tax-free
Jan 03, 2023
Prime Capital acquires $575 million advisory firm
Jan 03, 2023
It's 2023, and we're talking about fees
Jan 03, 2023
Advisor managing $160 million joins LPL from Ameriprise
Jan 03, 2023
Do clients want to invest in sustainability? You're asking the wrong questions
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