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February 4, 2019

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Previous Issue

New Tax Shelter Rules Might Move Forward Too Late Due to Government Shutdown

Lawmakers and financial advisors alike are lobbying for greater definition and flexibility in new Opportunity Zone investment program.

Why Ameriprise Is Making Big Investments in Tech and Recruiting

But some industry watchers wonder how much tech investment can help.

Wells Fargo and Edward Jones Lose FAs to Key Competitor, and More...

Also, advisor moves at UBS, First Republic and Citi.

LPL Breakaway Independent Financial Partners Receives Finra Nod for New Broker-Dealer

Firm hopes to launch broker-dealer by April.

Stifel Increases Advisor Count

Firm sees positive net addition to advisor strength for the first time in three years.

How This Ex-LPL Exec Helped Cetera Add $5.3 Billion

Cetera says its recruiting successes were partially due to Michael Murray, who joined from LPL in May.

Fidelity Says Retirement Account Balances Dropped 10% in Q4

Average balances in Fidelity’s retirement accounts were down around 8% for the year.

Hanson McClain Continues California Expansion with New Acquisition

HBP Retirement Group oversees $235 million for clients in the San Francisco Bay Area.

Topics

All Topics

The Client - Finding and winning new clients Why Merrill Lynch is Now the Belle of BoA's Ball Morgan Stanley Breakaway Reveals Lessons He Learned Surviving Cancer Merrill Lynch Loses Another FA to This Rival	The Client - Client retention Wells Wealth Results Less Than Encouraging Morgan Stanley Breakaway Reveals Lessons He Learned Surviving Cancer Morgan Stanley Pins Hopes on Changing Judge's Mind in Texas Defection Fight
The Client - ERISA plans/institutional management Why Big Firms Have Paid Billions in ERISA Class Actions Maryland, Nevada Push for State-Level Fiduciary Rules	The Client - Behavioral finance The Dangers of Taking a 'Quantity Over Quality' Approach to Designations Here are the Clutch Moves to Ensure Client Wealth Transfer Keeps you in the Picture

The Assets - Portfolio management UBS Tries to Heed Advisors’ Call for More Consistency New Jersey Unveils State Fiduciary Proposal If You're Skeptical About ESG, You'll Love This Data	The Assets - Insurance planning Morgan Stanley Loses Appeal on Annuity Distribution Suit Judge Forces Ohio National into Arbitration Over Annuity Trail Commission Furor
The Assets - Estate planning How to Add Value -- and Keep Clients -- During Intergenerational Wealth Transfers Follow These Signs to Avoid Picking the Wrong Trust Provider	The Assets - Tax planning UBS, Morgan Stanley and Others Add OZ Tax-Break Vehicles to Wealthy Client Offerings "Give Us More Red Tape!" Opportunity Zone Investors Implore IRS

The Practice - Technology SEC Warns of Key Risks for Client Privacy and Data Security Why Advisors Say They're Moving to SEI's Revamped Platform	The Practice - Fees and compensation Wells Wealth Results Less Than Encouraging New Jersey Unveils State Fiduciary Proposal Merrill Lynch Loses Another FA to This Rival
The Practice - Staffing and recruiting Wells Wealth Results Less Than Encouraging Morgan Stanley Breakaway Reveals Lessons He Learned Surviving Cancer Morgan Stanley Pins Hopes on Changing Judge's Mind in Texas Defection Fight	The Practice - Regulatory/legal issues Why You Could be the Next Target of an SEC Probe After SCOTUS Ruling Wells Wealth Results Less Than Encouraging New Jersey Unveils State Fiduciary Proposal

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