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This Week’s Top 5: Ex-Morgan Stanley Star Said to Have Bugged Partner’s Office, and More
Most-read stories from April 4 to April 10. Read More The post This Week’s Top 5: Ex-Morgan Stanley Star Said to Have Bugged... Read more »Published: April 10, 2021 - 10:00 am Credit Suisse’s New Chairman to Decide If a Deal Is the Answer
The damage-control work at Credit Suisse Group AG from a pair of disasters that stunned the banking world will soon give way... Read more »Published: April 9, 2021 - 6:18 pmAndrea Bocelli Announces 2021 US Tour Dates Presented by Stifel
Exclusive Pre-sale, available to Stifel Clients and Employees, Begins April 26 for New Shows + preferred seat presale opportunity for postponed or cancelled shows. General On Sale For All Shows Begins May 3 Read More The post Andrea Bocelli Announces... Read more »
Published: April 9, 2021 - 6:14 pmMorgan Stanley Hires $4-Mln UBS Private Wealth Team in Chicago
Four-person group had been overseeing $400 million in client assets and underscores Morgan Stanley’s revived recruiting focus. Read More The post Morgan Stanley... Read more »Published: April 9, 2021 - 2:37 pmBlackRock Scores Biggest-Ever ETF Launch With New ESG Fund
(Bloomberg) -- An exchange-traded fund investing in U.S. companies that BlackRock Inc. considers most likely to prosper in the transition… Read More The... Read more »Published: April 9, 2021 - 1:55 pmMorning Brief: New Investors Flood onto Retail Platforms
Top stories from around the web. Read More The post Morning Brief: New Investors Flood onto Retail Platforms appeared first on AdvisorHub.... Read more »Published: April 9, 2021 - 10:00 am25 Years Later, RIA Executive Clears His Brokerage Record
Michael Nessim, CEO of RIA aggregator Kingswood Acquisition Corp., wins expungement of a $30,000 settlement over a stop-loss order reached in his... Read more »Published: April 8, 2021 - 7:49 pmBiden tax talk seen driving RIA M&A activity
The record deal volume in the first quarter is being attributed to multiple factors, not the least of which is President Joe... Read more »Published: April 8, 2021 - 5:50 pmMorgan Stanley Star Who Exited in Partnership Fracas Joins N.J. RIA
Broker who had been managing $1 billion in client assets is said to have been forced out of wirehouse after admitting to... Read more »Published: April 8, 2021 - 3:56 pmMorning Brief: Fed Sticks with Low-Rate Policy
Top stories from around the web. Read More The post Morning Brief: Fed Sticks with Low-Rate Policy appeared first on AdvisorHub.... Read more »Published: April 8, 2021 - 10:00 amFired Edward Jones Broker Claims Sexual Harassment, Wrongful Termination
A former Edward Jones financial advisor in Texas claims in a lawsuit that she was fired following a “forced sexual encounter” with... Read more »Published: April 7, 2021 - 8:47 pmYankees great Derek Jeter joins board of Rockefeller Capital Management
Jeter, whose teams won five World Series, retired from baseball after the 2014 season and is currently the CEO of the Miami... Read more »Published: April 7, 2021 - 4:24 pm401k Education: Teaching Parents to Teach Their Children
Learning to budget isn’t a single lesson. It’s a series of lessons that get more advanced as the student progresses. The post... Read more »
Published: April 6, 2021 - 4:03 amFiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 4/2/21
Retirement, taxes, and investment mixed signals. The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 4/2/21 appeared first on FiduciaryNews.... Read more »
Published: April 5, 2021 - 4:03 amBeacon Pointe acquires Texas-based Wealthstreet
The deal will add more than $1 billion to Beacon Pointe's assets under management. The post Beacon Pointe acquires Texas-based Wealthstreet appeared... Read more »Published: April 1, 2021 - 2:20 pmRetirement plan aggregator Captrust shores up wealth management business
With $600 billion in assets under advisement, Captrust has appointed a head of wealth management to lead the growing $24 billion under... Read more »Published: March 30, 2021 - 4:11 pmWhat Fiduciaries Learned About 401k Retirement Saving Over These Last 12 Months
Because things happened so fast, everyday folks could see in real time how long-term financial systems unfold. In the end, this may... Read more »
Published: March 30, 2021 - 4:03 amFormer rep sentenced to more than 17 years for defrauding clients
He was suspended by the Certified Financial Planners Board of Standards in 2013, and was barred by the Financial Industry Regulatory Authority... Read more »Published: March 29, 2021 - 7:54 pmHub launches 401(k) service for small businesses
The company's new Retirement Select service is competing against state-sponsored auto IRAs, and it comes as other firms are exploring the pooled-employer... Read more »Published: March 29, 2021 - 6:27 pmFiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 3/26/21
The Battle of the Titans, a whole new fiduciary, and aiming high. The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week... Read more »
Published: March 29, 2021 - 4:03 amTD’s 401(k) business for RIAs soft closing April 1
The TDA Retirement Plan will be closed to new clients at the start of next month, with business instead going to Schwab’s... Read more »Published: March 25, 2021 - 6:03 pmFinancial advisers are steering clients away from SPACs
Special purpose acquisition companies are leveraging celebrity endorsements to drive investor demand, while financial advisers struggle to protect clients from risk. The... Read more »Published: March 24, 2021 - 6:00 pmExclusive Interview: In A Sneak Preview, Phyllis Borzi Speaks Frankly On ESG And Projected Income Mandate
"Encouraging lifetime income distributions was one of my major initiatives at DOL and my biggest regret was that I was not able... Read more »
Published: March 23, 2021 - 4:03 amWife to missing Atlanta adviser: ‘Turn yourself in’
Chris Burns is facing mail fraud charges from an alleged scheme that defrauded dozens of clients of more than $10 million. "It’s... Read more »Published: March 22, 2021 - 5:10 pmFiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 3/19/21
State-run retirement lemmings, changing scenes, and ESG,& HSA & RMD, oh my! The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week... Read more »
Published: March 22, 2021 - 4:03 amBroker-dealer M&A shows signs of life in 2021
The acquisition market for broker-dealers looks like it is perking up as broker-dealer networks owned by private equity managers continue to hunt... Read more »Published: March 19, 2021 - 5:37 pmInvestor appetite for ETFs on the rise: Schwab
ETFs expected to make up a growing share of investor portfolios in the year ahead, according to Charles Schwab & Co.’s ETF... Read more »Published: March 19, 2021 - 5:13 pmIndie RIA managing $163 million joins Carson Partners
Main Street Financial Life Advisors, founded in 1999 by J. Joseph Roman, is based in Moorestown, New Jersey. The post Indie RIA... Read more »Published: March 19, 2021 - 3:38 pmGet ready for a breakaway stampede in 2021
The events of the past year have set in motion several factors that have contributed to a surge of pent-up interest in... Read more »Published: March 18, 2021 - 1:03 amWarburg Pincus takes stake in Edelman Financial Engines
Hellman & Friedman, which bought a stake in Edelman in 2015 and combined it with Financial Engines in 2018, will remain majority... Read more »Published: March 16, 2021 - 2:44 pm
NEWS
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Weekend Reading for Financial Planners (Apr 10-11)
Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with a look at President Biden’s... Read more »
Published: April 9, 2021 - 6:59 pmSEC Awards Approximately $2.5 Million to Whistleblower
The Securities and Exchange Commission today announced an award of approximately $2.5 million to a whistleblower whose information and ongoing assistance to... Read more »
Published: April 9, 2021 - 3:41 pmS&P 500 Closes At Record High As Investor Optimism Reaches Highest Level Since 2017
S&P 500 Closes At Record High As Investor Optimism Reaches Highest Level Since 2017 Technology stocks like Apple and Twitter led the... Read more »
Published: April 9, 2021 - 3:30 pmSEC Accuses Actor Of $690 Million Fraud Based On Fake Netflix Deal
SEC Accuses Actor Of $690 Million Fraud Based On Fake Netflix Deal: Zachary Horwitz touted fictitious film licensing deals with companies like HBO... Read more »
Published: April 9, 2021 - 1:05 pmGameStop Taps Billionaire Investor Ryan Cohen As Board Chair, Sending Shares Surging Anew
GameStop Taps Billionaire Investor Ryan Cohen As Board Chair, Sending Shares Surging Anew After a Reddit-fueled rally this year, GameStop shares are... Read more »
Published: April 9, 2021 - 1:09 amJane Norberg, Chief of the SEC's Office of the Whistleblower, to Leave Agency
The Securities and Exchange Commission today announced that Jane Norberg, Chief of the SEC's Office of the Whistleblower, is planning to leave... Read more »
Published: April 8, 2021 - 7:36 pmKitces & Carl Ep 57: Transitioning “Good” Clients Who Simply Can’t Be Served Profitably
If there’s one thing that just about every financial advisor can agree upon, it’s that surviving the first few years in the... Read more »
Published: April 8, 2021 - 11:05 amTencent Investor Sale Teaches Diversification The Hard Way
Tencent Investor Sale Teaches Diversification The Hard Way Despite the strong PMI releases and the IMF raising China’s GDP target to 8.4%,... Read more »
Published: April 7, 2021 - 4:48 pmMaking Monte Carlo Results More Relevant By Finding The Right Level Of Abstraction
When it comes to navigating the world and understanding our surroundings, abstraction (i.e., the process of extracting the higher-level essence of something... Read more »
Published: April 7, 2021 - 11:04 amSEC Obtains Emergency Asset Freeze, Charges Actor with Operating a $690 Million Ponzi Scheme
The Securities and Exchange Commission today announced that it obtained an asset freeze and other emergency relief in an emergency enforcement action... Read more »
Published: April 6, 2021 - 11:36 pmIs it ESG? Or Just A Load of E...'BS'…G?
Doesn’t it seem like Wall Street can monetize a movement like nobody else? Perhaps that’s what makes it so interesting when one... Read more »
Published: April 6, 2021 - 3:36 pm#FASuccess Ep 223: Finding Success In Succession By Building Towards The Successor’s Vision, With Marianela Collado
Welcome back to the 223rd episode of Financial Advisor Success Podcast! My guest on today’s podcast is Marianela Collado. Marianela is the... Read more »
Published: April 6, 2021 - 11:04 amLong sentences can make you more concise
“You have too many short sentences. Write some long sentences.” That advice from my writing teacher stunned me. I’d been working so... Read more »Published: April 6, 2021 - 9:49 amSEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Re-Opens Comment Period for Notice and Proposed Substituted Compliance Order for France
The Securities and Exchange Commission voted to take two actions to continue to advance implementation of security-based swap regulation under Title VII... Read more »
Published: April 5, 2021 - 8:56 pmAuditor Charged for Failure to Register with PCAOB and Multiple Audit Failures
The Securities and Exchange Commission today announced the institution of administrative proceedings against a Texas-based CPA for allegedly failing to register his... Read more »
Published: April 5, 2021 - 7:51 pmSEC Promotes Investor Awareness During National Financial Capability Month
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) is embracing National Financial Capability Month as an opportunity to... Read more »
Published: April 5, 2021 - 3:11 pmThe Latest In Financial #AdvisorTech (April 2021)
Happy New Year, and welcome to the April 2021 issue of the Latest News in Financial #AdvisorTech – where we look at... Read more »
Published: April 5, 2021 - 11:03 amWhat I Wish I Had Learned About Investing At Harvard Business School III: ESG Compensation Targets And Risk-Adjusted Returns
What I Wish I Had Learned About Investing At Harvard Business School III: ESG Compensation Targets And Risk-Adjusted Returns This article, the... Read more »
Published: April 3, 2021 - 2:45 pmWeekend Reading for Financial Planners (Apr 3-4)
Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with the announcement that the CFP... Read more »
Published: April 2, 2021 - 6:55 pm3 Simple Indicators To Make You A Better Investor
3 Simple Indicators To Make You A Better Investor You might think reading stock charts is some kind of exercise in reading... Read more »
Published: April 2, 2021 - 4:06 pm
BLOGS
What's Happening Today
Updated Hourly RIA News
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This Week’s Top 5: Ex-Morgan Stanley Star Said to Have Bugged Partner’s Office, and More
Most-read stories from April 4 to April 10. Read More The post This Week’s Top 5: Ex-Morgan Stanley Star Said to Have Bugged... Read more »Published: April 10, 2021 - 10:00 am - ●
Surfing a $15-billion-a-week asset growth meteor, Addepar CEO Eric Poirier hires an owner as president to achieve 'escape velocity' and keep operations from flaming out
Addepar is fast nearing $3 trillion, it says, after a 50% RIA asset spike in 2020. Now an Addepar owner through Valor... Read more »Published: April 10, 2021 - 3:56 am $2B Advisory and Asset Management Firm Opens in LA
Audent Capital Partners is operating as two separate companies: Audent Family Wealth Advisors and Audent Global Asset Management. Related StoriesHome Prices Soar in... Read more »
Published: April 9, 2021 - 9:27 pmCredit Suisse's New Chairman to Weigh Damage-Control Options After Archegos Blowup
The Swiss bank may merge with UBS or be sold to another firm in the wake of $4.7 billion in losses tied... Read more »
Published: April 9, 2021 - 7:35 pmHome Prices Soar in Frenzied U.S. Market Drained of Supply
Demand is so fierce that almost half of U.S. homes are selling within a week of hitting the market, a record pace,... Read more »
Published: April 9, 2021 - 7:20 pmFINRA Bars Ex-Goldman Rep Over Expense Reimbursement
The former broker was terminated by the firm in December 2019 and then refused to cooperate with the FINRA investigation. Related StoriesU.S. Growth... Read more »
Published: April 9, 2021 - 7:14 pmU.S. Growth Expectations Keep Mounting With Bigger Tailwind
Economists' expectations for gross domestic product growth surged more than a percentage point to an annualized pace of 8.1% in the second... Read more »
Published: April 9, 2021 - 7:05 pm12 States With Lowest Taxes in America
WalletHub looked at income, property, sales and excise taxes in each state. Related Stories12 Best States for Working From Home5 States Where Nursing... Read more »
Published: April 9, 2021 - 7:02 pmPro Bono Financial Planning Surged in 2020, Group Says
Grantees and partners provided 27% more one-on-one advice sessions than in 2019, the foundation said. Related Stories15% of U.S. Stock Investors Started in... Read more »
Published: April 9, 2021 - 6:25 pmCredit Suisse’s New Chairman to Decide If a Deal Is the Answer
The damage-control work at Credit Suisse Group AG from a pair of disasters that stunned the banking world will soon give way... Read more »Published: April 9, 2021 - 6:18 pmAndrea Bocelli Announces 2021 US Tour Dates Presented by Stifel
Exclusive Pre-sale, available to Stifel Clients and Employees, Begins April 26 for New Shows + preferred seat presale opportunity for postponed or cancelled shows. General On Sale For All Shows Begins May 3 Read More The post Andrea Bocelli Announces... Read more »
Published: April 9, 2021 - 6:14 pmThe Tobacco Epidemic Within the Pandemic
The author says smoking cessation programs are critical to national recovery from the COVID-19 crisis. Related StoriesSEC's ESG Plans for Public Companies May... Read more »
Published: April 9, 2021 - 6:14 pmIn-Person Conferences Returning This September
Morningstar, the FPA and Inside ETFs are holding live events this year; some will have virtual components. Related StoriesProposal Could Make Life Insurers... Read more »
Published: April 9, 2021 - 6:02 pmMorningstar plows ahead with ratings in $2.1-trillion model portfolio market --thanks, UBS and Merrill -- but not with its coveted star system
The Chicago investment tracker now rates 139 models, up from 76, on a five-tier scale from gold to negative.... Read more »Published: April 9, 2021 - 4:59 pmMorgan Stanley Hires $4-Mln UBS Private Wealth Team in Chicago
Four-person group had been overseeing $400 million in client assets and underscores Morgan Stanley’s revived recruiting focus. Read More The post Morgan Stanley... Read more »Published: April 9, 2021 - 2:37 pmProposal Could Make Life Insurers Bigger Real Estate Owners
Life insurers might get to put more of the value of commercial real estate in risk-based capital totals. Related Stories15% of U.S. Stock... Read more »
Published: April 9, 2021 - 2:27 pmConsumers Expect to Use More Health Care This Year: Insure.com
About 40% of survey participants said they have postponed care because of the COVID-19 pandemic. Related Stories15% of U.S. Stock Investors Started in... Read more »
Published: April 9, 2021 - 2:03 pmBlackRock Scores Biggest-Ever ETF Launch With New ESG Fund
(Bloomberg) -- An exchange-traded fund investing in U.S. companies that BlackRock Inc. considers most likely to prosper in the transition… Read More The... Read more »Published: April 9, 2021 - 1:55 pmMaggie Seidel Takes Finseca Public Affairs Post: Personnel Moves
Transamerica has a new TPA services vice president, and Minnesota Blue's CEO is retiring. Related Stories15% of U.S. Stock Investors Started in 2020:... Read more »
Published: April 9, 2021 - 1:54 pmMorning Brief: New Investors Flood onto Retail Platforms
Top stories from around the web. Read More The post Morning Brief: New Investors Flood onto Retail Platforms appeared first on AdvisorHub.... Read more »Published: April 9, 2021 - 10:00 amRaymond James Nabs Morgan Stanley, MassMutual Teams
The teams, along with two other advisors from other firms moving to Raymond James, manage a total of $686 million in client... Read more »
Published: April 9, 2021 - 5:49 amTom Bradley, put on the spot by TD Ameritrade RIA at Schwab 'town hall,' gives answer to burning question: Just how much repapering pain will TD RIAs face in merger?
The Schwab senior vice president assured his former constituency that agony will be the exception but that complex authorizations have no easy... Read more »Published: April 9, 2021 - 3:00 am5 Ways Advisors, Clients Have Changed in the Pandemic
An Advisor360 survey finds shifts in communications, trading, portfolio rebalancing and how investment objectives and goals. are defined. Related StoriesSEC's ESG Plans for... Read more »
Published: April 8, 2021 - 9:55 pm15% of U.S. Stock Investors Started in 2020: Schwab Survey
These investors say they learned lessons in 2020 about investing for the long term, and 72% plan to buy and hold this... Read more »
Published: April 8, 2021 - 9:49 pmEd Slott's Last-Minute Tax Tips
One tip: Remember that the May 17 tax filing deadline doesn't apply to first-quarter estimated tax payments. Related StoriesEnvestnet Acquires Harvest Savings &... Read more »
Published: April 8, 2021 - 8:23 pmWhat COBRA Subsidies in the Stimulus Package Mean for Your Clients
It's important that both individual and small-business clients understand the new COBRA rules for 2021. Related StoriesShould the Child Tax Credit Be Paid... Read more »
Published: April 8, 2021 - 7:57 pm25 Years Later, RIA Executive Clears His Brokerage Record
Michael Nessim, CEO of RIA aggregator Kingswood Acquisition Corp., wins expungement of a $30,000 settlement over a stop-loss order reached in his... Read more »Published: April 8, 2021 - 7:49 pmTop 3 Qualities Clients Want in Their Advisor: Cerulli
Cerulli and Phoenix Marketing surveyed 11,000 households to learn about their expectations. Related Stories10 Types of Investors Who Seek Advice - EnclosureEnvestnet Acquires... Read more »
Published: April 8, 2021 - 7:44 pm3 Keys to Health Insurance Customer Experience
Maybe there's a middle path between homegrown software and general-purpose CX systems. Related StoriesMetLife Completes $3.9 Billion P&C Unit Sale: Deals - EnclosureSEC's... Read more »
Published: April 8, 2021 - 7:00 pm10 Types of Investors Who Seek Advice
Here's a question you should ask every prospect to determine which type of investor they are and how you can help them. Related... Read more »
Published: April 8, 2021 - 4:15 pm
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