RIA Industry News from around the Nation
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RIA Industry News from around the Nation
What's Happening Today
Updated Hourly
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Wells Fargo to Merge Wealth Management Sales Regions
Wells Fargo Advisors continues cost-cutting by consolidating management of its private client group, slimming to eight from 12 sales regions. Read More The... Read more » - ●Robert Mitchell, a million-dollar-plus producer at Morgan Stanley, follows the lead of others fired for compliance missteps by joining a regional firm.... Read more »
- ●Quant giant Dimensional Fund Advisors has laid out the timeline for converting nearly $26 billion worth of mutual funds into exchange-traded funds, a watershed... Read more »
- ●Top stories from around the web. Read More The post Morning Brief: Tech Stocks Lead Market Decline as Inflation Fears Rise appeared first... Read more »
- Ameriprise recorded a 10.8% year-over-year increase in forgivable recruiting loans in 2020, while LPL’s loan balances climbed 24%. Read More The post Recruiting... Read more »
Northwestern Mutual team managing $400 million goes indie
Unique Wealth in St. Petersburg, Florida, has affiliated with Dynasty Financial Partners and will use Pershing as its custodian. The post Northwestern... Read more »![]()
2021 firm examination priorities add array of climate-related and disclosure issues to traditional focus on sales practices involving high-risk securities. Read More The... Read more »- Top stories from around the web. Read More The post Morning Brief: Stocks Give Back Some March Gains as Tech Falls appeared first... Read more »
- Eight-person group includes four advisors who had been managing $1.2 billion in client assets, according to an announcement on Tuesday. Read More The... Read more »
- Armando Ureña and his team in Coral Gables switched to Snowden Lane Partners ahead of Wells’ shuttering of its foreign client business.... Read more »
NEWS
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Dow Plunges Nearly 700 Points After Powell’s Speech Fails To Ease Investor Worries
Dow Plunges Nearly 700 Points After Powell’s Speech Fails To Ease Investor Worries The Fed chair said recently rising bond yields were... Read more »
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The Securities and Exchange Commission today announced the creation of a Climate and ESG Task Force in the Division of Enforcement. The... Read more »
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The Securities and Exchange Commission today announced an award of over $5 million to joint whistleblowers whose tip caused the opening of... Read more »
The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on March 11 by remote means. The meeting will begin at 10:00... Read more »
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Interesting question - but I have to answer with a question - Do something about what? About a group of investors sharing... Read more »
BLOGS
Using Probability-Of-Success-Driven Guardrails To Manage Safe Retirement Spending
What's Happening Today
Updated Hourly RIA News
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BUZZ Kill: Social Sentiment ETF Sinks on First Trading Day
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The VanEck ETF touted by Dave Portnoy attracted lots of volume but never rebounded to its opening price. Related StoriesQuarter of Americans at... Read more » - ●
Oisín's Bits: Betterment now a robo roll-up with Canadian IPO as catalyst • Insurers risk regulation for COVID-19 coverage delays • Vanguard shifts Asia focus to China's vast mom-pop retail market
Betterment rolls up a robo • The CFA warns insurers over COVID-19 life polices • Vanguard names Chinese fund head to pursue... Read more » - ●
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The deal could add 17,400 customers with $190 million in assets. Related StoriesQuarter of Americans at a Loss When Enrolling in Medicare Plans:... Read more » - ●
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The drop reflects a selloff in the tech sector as bond yields rise and inflation worries grow. Related StoriesQuarter of Americans at a... Read more » - ●
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The scholarship will cover the cost of the Dalton Review CFP exam review course for 10 recipients per year. Related StoriesQuarter of Americans... Read more » - ●
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Congressional members could retain their stocks if they transferred them to a blind trust. Related StoriesQuarter of Americans at a Loss When Enrolling... Read more » - ●
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Senate Majority Leader Chuck Schumer has offered a substitute amendment. ... Read more » - ●Wells Fargo Advisors continues cost-cutting by consolidating management of its private client group, slimming to eight from 12 sales regions. Read More The... Read more »
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The quick phase-out of the payments creates a distortion for certain families near the income limit, according to tax expert Jeffrey Levine. ... Read more » - ●
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If you've been building your advisory business for decades, now may be the ideal time to sell your practice. Related StoriesHealthy Financial Habits... Read more »
NEWS
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