Site Map for February 2023

Date
Title
Feb 28, 2023

Morgan Stanley ordered to pay Schwab $7.3 million over broker recruiting

Feb 28, 2023

BlackRock closes FutureAdvisor's retail business, moves clients to Ritholtz Wealth

Feb 28, 2023

Biden plans to name Julie Su as next Secretary of Labor

Feb 28, 2023

LPL adds Merrill advisor managing $300 million

Feb 28, 2023

Advisors recommend solo 401(k) to sole-proprietor clients

Feb 28, 2023

Supreme Court dubious about Biden student-loan relief plan

Feb 28, 2023

Arkansas RIA recruits $650 million trio, becoming one of state's largest advisory firms

Feb 28, 2023

Orion reveals ChatGPT integration at Ascent conference

Feb 28, 2023

Slowdown in M&A threatens decade-long streak of increasing RIA consolidation

Feb 28, 2023

January was worst month for retail nontraded REITs sales since 2009

Feb 28, 2023

Most Americans aren't ready for retirement and don't want to talk about it: Study

Feb 27, 2023

Merrill Private Wealth promotes Hans to lead unit

Feb 27, 2023

Nearly $2.5 billion flows into cash-like ETF

Feb 27, 2023

Insured Retirement Institute seeks to build on SECURE 2.0 wins

Feb 27, 2023

Focus Financial Partners says it's being bought, as expected

Feb 27, 2023

Michael Tiedemann identifies keys to RIA success

Feb 27, 2023

Top things for estate planners to do before Tax Day 2023

Feb 27, 2023

Morgan Stanley team with $715 million joins Americana Partners

Feb 27, 2023

Merrill advisor with $440 million in assets affiliates with LPL

Feb 27, 2023

Focus Financial to be acquired by Clayton Dubilier in $7 billion deal

Feb 27, 2023

Bond yields offer chance to fix the 40 in 60/40, BlackRock says

Feb 27, 2023

10 cities with the highest concentrations of financial advisors in 2023

Feb 24, 2023

Sanctuary Wealth adds $1.5 billion Merrill team

Feb 24, 2023

Republicans, Democrats battle to political stasis on ESG policy

Feb 24, 2023

Fintech Bytes: Raymond James, Wells Fargo and Orion

Feb 24, 2023

Thomas H. Lee bought RIAs before anyone else

Feb 24, 2023

Real estate isn't an alternative — it's a core investment

Feb 24, 2023

TIAA adds industry veterans to retirement solutions team

Feb 24, 2023

US sustainable fund flows drop to lowest level in 7 years

Feb 24, 2023

Willis Towers Watson rolls out pooled employer plan

Feb 24, 2023

Number of 401(k) millionaires drops by a third in 2022

Feb 24, 2023

Private equity pioneer Thomas Lee dies at 78

Feb 23, 2023

Inflation pressures not stopping retirement savers, Fidelity says

Feb 23, 2023

LPL taps Schwab veteran for RIA growth

Feb 23, 2023

Finra arbitrators deny both IBD's, brokers' efforts to keep each other from clients

Feb 23, 2023

AssetMark overcomes market losses to post record revenue in 2022

Feb 23, 2023

Student athletes' NIL deals give advisors the ability to create change

Feb 23, 2023

Retirement experts advise staying nimble regarding 4% rule

Feb 23, 2023

401(k) fees decline again in 2022

Feb 23, 2023

FPA partnering to offer elder care planning program to its members

Feb 22, 2023

Should I bond investors 'Twist' again like they did last summer?

Feb 22, 2023

Dynasty Financial selects BridgeFT as primary data aggregation provider

Feb 22, 2023

Oppenheimer fails to overturn $36.7 million arbitration loss

Feb 22, 2023

Strive Asset Management chairman Vivek Ramaswamy resigns to run for president

Feb 22, 2023

JPMorgan reins in workers' use of ChatGPT

Feb 22, 2023

Controversial cash allocations in Schwab's robo protected clients in 2022

Feb 22, 2023

Thank you, SECURE 2.0, for 529-to-Roth IRA rollovers

Feb 22, 2023

More US states are starting to push back against anti-ESG movement

Feb 22, 2023

Competition for active ETF dominance heats up

Feb 22, 2023

Wells Fargo latest to face probe of use of messaging apps

Feb 21, 2023

TradePMR, FP Transitions partner on consulting service

Feb 21, 2023

Fidelity donors undeterred by market pullback, report says

Feb 21, 2023

With recession looming, advisors prepare for the worst

Feb 21, 2023

Finra fines small B-D after years of net capital problems

Feb 21, 2023

Mormon church, investment manager pay $5 million to settle SEC claim

Feb 21, 2023

Mariner acquires California firm that advises medical professionals

Feb 21, 2023

Investors think they need at least $3 million to retire

Feb 21, 2023

Helping clients apply for survivor benefits

Feb 21, 2023

How to Restore Retirement Confidence During a Volatile Market

Feb 20, 2023

The ins and outs of Goldman Sachs' custody operation

Feb 20, 2023

Are financial advisors recession-proof?

Feb 20, 2023

The ’secret’ of advisor job security

Feb 20, 2023

Schwab’s game plan for a TD touchdown

Feb 20, 2023

Bad apps + Bad actors = Bad news for advisors

Feb 17, 2023

Fintech Bytes: Crypto winter continues

Feb 17, 2023

Industry, investor advocates oppose key parts of SEC mutual fund reform

Feb 17, 2023

Advisors' worst fears coming into 2023 proving groundless, so far

Feb 17, 2023

Former NBA player Paul Pierce to pay $1.4 million in crypto case

Feb 17, 2023

NewEdge Advisors rolls out employee affiliation model

Feb 17, 2023

How advisors can use technology to seize their opportunity with Gen Z

Feb 17, 2023

Vestwell selected to administer California ABLE program

Feb 16, 2023

Crypto investors had their funds frozen. Now they may have to pay taxes

Feb 16, 2023

The latest in financial #AdvisorTech — February 2023

Feb 16, 2023

Ignoring this source of retirement income underestimates Black Americans’ resources

Feb 16, 2023

Betterment lays off 28 as fintechs continue to feel the pinch

Feb 16, 2023

Americans lack emergency funds, Edward Jones study shows

Feb 16, 2023

Dynasty Financial, in first-ever acquisition, picks up TruClarity's breakaway business

Feb 16, 2023

Focus Financial Partners keeps mum about potential sale

Feb 16, 2023

Fidelity to hire 4,000 positions by midyear

Feb 16, 2023

Sequoia Financial acquires Zeke Capital Advisors in $5 billion deal

Feb 15, 2023

Empower joins group providing portability of retirement savings

Feb 15, 2023

2023 RIA M&A off to sluggish start

Feb 15, 2023

SEC proposes expanding advisor custody rule

Feb 15, 2023

Vanguard goes against the grain by shuttering alternatives fund

Feb 15, 2023

Retirees remain anxious despite decline in inflation

Feb 15, 2023

Waiting too long can make your worst fears a reality

Feb 15, 2023

Sustainable bond market on track for a better year

Feb 15, 2023

Examining gamification's power and influence in the markets

Feb 15, 2023

Goldman CEO cites 'tighter hiring plan' for 2023

Feb 14, 2023

Future generations better not follow boomers down retirement 'Road to Nowhere'

Feb 14, 2023

Hightower buys Massachusetts RIA with $625 million in AUM

Feb 14, 2023

Merrill launches new tool allowing advisors to record, share custom videos

Feb 14, 2023

Schwab ordered to pay investor $144,000 for allegedly unsuitable complex ETF

Feb 14, 2023

Jason Sugarman barred from securities industry

Feb 14, 2023

Raymond James nabs $680 million team from UBS

Feb 14, 2023

Mutual-fund-to-ETF conversions fail to wow investors

Feb 13, 2023

Florida court strikes down DOL guidance making rollover advice fiduciary

Feb 13, 2023

State Street using AI as a ‘forward-looking approach' to portfolio construction

Feb 13, 2023

LPL adds New Mexico firm managing $225 million from Voya

Feb 13, 2023

NAPFA names Kathryn Dattomo new CEO

Feb 13, 2023

Retirement plan loans down in Q4, but defaults up, BofA study shows

Feb 13, 2023

Finra fines small New York broker-dealer for Reg BI failures

Feb 13, 2023

ESG investing, Twitter showdowns and the politics involved

Feb 13, 2023

Programs to draw underrepresented groups into investing gain traction

Feb 13, 2023

Financial heartbreak: Lying about money can cost you your relationship

Feb 10, 2023

Fund companies, in no-win situation, test shareholder proxy voting

Feb 10, 2023

Fidelity readies ESG target-date series

Feb 10, 2023

Fintech Bytes: InvestCloud, 55ip and Broadridge

Feb 10, 2023

Finra can start indicating on BrokerCheck whether firm is ‘restricted’

Feb 10, 2023

Cetera CEO Antoniades enthusiastic about Securian pickup

Feb 10, 2023

Alan Moore stepping down as CEO of AdvicePay to become full-time CEO of XY Planning

Feb 10, 2023

Putnam launches sustainable target-date series for retirement savers

Feb 10, 2023

Fears that a comfortable retirement may be unattainable continue to grow

Feb 09, 2023

What do advisory firms need to keep growing? A move beyond client referrals

Feb 09, 2023

Hundreds of pages of regulations amount to nothing until they’re enforced  

Feb 09, 2023

Northern Trust Asset Management fills president vacancy with BlackRock veteran

Feb 09, 2023

IBDs used to keep their hands off clients. Not anymore

Feb 09, 2023

Bring visual accessibility into focus with tools, workplace culture

Feb 09, 2023

Vanguard's tax-busting fund design may face competition   

Feb 09, 2023

Growing demand for diversity investment products

Feb 09, 2023

Most successful financial services football stadiums

Feb 08, 2023

Super Bowl special: How to leave NFL tickets to heirs without getting sacked

Feb 08, 2023

Wealth Enhancement Group adds RIA managing $273 million

Feb 08, 2023

BlackRock sustainability policy and engagement leader to depart

Feb 08, 2023

GOP seeks to open private markets; Democrats might be willing to talk  

Feb 08, 2023

Centaurus hit with $1.1 million penalty over structured product sales

Feb 08, 2023

Invesco’s Schlossberg to succeed Flanagan as president, CEO

Feb 08, 2023

BNY Mellon files for Women’s Empowerment ETF

Feb 08, 2023

Hightower unit TC Wealth acquires $800 million firm

Feb 08, 2023

Labor Secretary Marty Walsh expected to step down to take job as head of NHL players union

Feb 08, 2023

Rising rates, falling revenue will dramatically change RIA M&A activity in 2023

Feb 07, 2023

SEC emphasizes probing marketing rule, Reg BI compliance

Feb 07, 2023

5 ways for financial advisors to further their careers in 2023

Feb 07, 2023

Bond managers see 2023 as stark contrast from carnage last year

Feb 07, 2023

Compassion comes full circle when giving makes you a better advisor

Feb 07, 2023

Mutual fund companies can no longer ignore ETFs

Feb 07, 2023

Securities regulators warn of risks related to self-directed IRAs

Feb 07, 2023

Game changer or not, SECURE 2.0 529 rollover rule turns advisor heads

Feb 07, 2023

OneDigital acquires Florida firm managing $500 million

Feb 07, 2023

White House criticizes proposed GOP commission as 'death panel' for Social Security

Feb 06, 2023

Pimco's Daniel Ivascyn closes in on his next big trade

Feb 06, 2023

Joe Duran's Goldman two-step: Exiting as partner, staying to consult

Feb 06, 2023

Finra arbitrators order Credit Suisse to pay $1.3 million to former rep

Feb 06, 2023

Direct indexing touted as client prospecting tool

Feb 06, 2023

Retirement plan reviews: Ignore the noise and carry the tune

Feb 06, 2023

Morningstar CEO on ESG politics, future of sustainability

Feb 06, 2023

Alternatives as an all-season investment

Feb 06, 2023

Opposition to ESG might just be getting started

Feb 06, 2023

Investors like ESG and want advisors’ help with it: Survey

Feb 06, 2023

United Advisor Group debuts as a new RIA aggregator

Feb 06, 2023

SECURE 2.0 provides breathing room for RMDs

Feb 06, 2023

Cracking the code

Feb 06, 2023

Whose clients are they, anyway?

Feb 06, 2023

All eyes on alts

Feb 06, 2023

Taking a cue from Ed Koch

Feb 03, 2023

Fintech Bytes: TD Ameritrade updates trading software, Vanguard enhances robo

Feb 03, 2023

Republican bill would end the DOL ESG rule

Feb 03, 2023

Website helps investors cut through regulatory thicket to find advisors

Feb 03, 2023

LPL recruiting down in 2022

Feb 03, 2023

How Elon Musk's latest change could make Twitter more expensive for advisors

Feb 03, 2023

Advisors stepping up to bond ladders as Fed pushes rates up another quarter point

Feb 03, 2023

Dickson out as head of Sanctuary Wealth, ex-Ladenburg exec Malamed in

Feb 02, 2023

Finra arbitrators order Raymond James, rep to pay nearly $20 million in raiding case

Feb 02, 2023

Vanguard gives fund shareholders some proxy-voting power

Feb 02, 2023

Will 2023 be another banner year for 401(k) fee litigation?

Feb 02, 2023

Bucking the trend: Why some advisors refuse to outsource investment management

Feb 02, 2023

Finra fines, suspends two brokers for Reg BI violations

Feb 02, 2023

Focus Financial weighs $4.1 billion sale to private equity firm

Feb 02, 2023

Alex. Brown nabs Florida advisor managing $250 million at Merrill

Feb 02, 2023

JPMorgan asks judge to throw out lawsuit over Jeffrey Epstein

Feb 02, 2023

Alts manager FS Investments doubling size with merger

Feb 02, 2023

10 largest TAMPs by assets in 2023

Feb 01, 2023

Goldman's push into RIA custody gets going — finally

Feb 01, 2023

HSAs saw net increase despite pandemic spending spike: EBRI

Feb 01, 2023

SECURE 2.0 gives fintechs opportunity to help advisors navigate tax season

Feb 01, 2023

Federal Reserve raises rates by a quarter point

Feb 01, 2023

Advisors must evolve to survive in the AI era

Feb 01, 2023

Brokerages need to update tech systems to show Reg BI work to SEC

Feb 01, 2023

The consolidation contradiction

Feb 01, 2023

Wealth Enhancement Group acquires hybrid managing $371 million

Feb 01, 2023

How leading firms are utilizing technology

Feb 01, 2023

Blackstone's BREIT hit monthly redemption limit in January

Feb 01, 2023

In 'hell freezes over' moment, American Funds pairs up with passive ETFs