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February 4, 2019

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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 LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it Amid Falling Markets, B-Ds and Retail Brokerages Post Strong Revenue Hightower Adds $2.6 Billion RIA	The Client - Client retention Hightower Adds $2.6 Billion RIA LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it Amid Falling Markets, B-Ds and Retail Brokerages Post Strong Revenue
The Client - ERISA plans/institutional management Maryland, Nevada Push for State-Level Fiduciary Rules Oregon Ready to Help Other States Set Up Auto-IRA Programs	The Client - Behavioral finance Almost Half of Federal Workers Fell Behind on Bills During Shutdown How FAs Can Overcome Their Clients’ Annuity Aversion

The Assets - Portfolio management Commonwealth Offers MassMutual Access to Its Wealth Management Tech Platform Merrill Lynch and UBS Decry Deficits in Specialist Data	The Assets - Insurance planning Variable Annuities are Still Being Recommended — Despite Ohio National Fallout How FAs Can Overcome Their Clients’ Annuity Aversion
The Assets - Estate planning Follow These Signs to Avoid Picking the Wrong Trust Provider Why FAs Piled into ETFs Last Year and Will Further the Trend in 2019	The Assets - Tax planning Merrill Lynch Asks Court to Toss Class-Action Alleging "Misleading and Deceptive" Marketing New Tax Shelter Rules Might Move Forward Too Late Due to Government Shutdown How the 0.1% Lose Their Money, According to Family Offices

The Practice - Technology LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did it Commonwealth Offers MassMutual Access to Its Wealth Management Tech Platform Wells Fargo's Online Outages and New Fee Give Some Pause	The Practice - Fees and compensation Ex-Merrill Lynch FA Fired and Barred Over Bypassing Internal Controls Variable Annuities are Still Being Recommended — Despite Ohio National Fallout Wells Fargo's Online Outages and New Fee Give Some Pause
The Practice - Staffing and recruiting What Jay-Z Wants, Finra Insists It Already Has Ex-Merrill Lynch FA Fired and Barred Over Bypassing Internal Controls Finra Sues Ex-Broker Over Failing to Disclose Sexual Misconduct Felony	The Practice - Regulatory/legal issues What Jay-Z Wants, Finra Insists It Already Has Ex-Merrill Lynch FA Fired and Barred Over Bypassing Internal Controls Finra Sues Ex-Broker Over Failing to Disclose Sexual Misconduct Felony

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