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Why 401(k) advisers should stress-test client portfolios
Traditional methods of performing investment due diligence use models that may not fully correspond to reality.
When to do a retirement-plan rollover, and when to avoid it
When should you do a retirement plan rollover and when shouldn’t you? Find out in this article
Muni funds land a year’s worth of cash in four months
Money coming from people who saw their tax bills rise as a result of the cap on state and local tax deductions.
UBS says wealthy clients add $22 billion in Q1
The firm's better-than-expected inflows in the first quarter marked a rebound from fourth-quarter outflows.
UBS merges two divisions in pursuit of ultra-rich clients
New venture will combine capital-markets teams across wealth management and the investment bank in the U.S., according to memo.
TD Ameritrade cut marketing because ‘fish weren’t biting,’ CEO says
Online broker sees headwinds created by lower rates and less trading.
2019 top independent broker-dealers ranked by revenue
Firm2018 revenue ($M)% change vs. 20172018 commission revenue ($M)% change vs. 20172018 fee revenue ($M)% change vs. 20172018…
Fidelity sales tactics called out in settlement of retirement plan lawsuit
Attorney Jerry Schlichter won a provision that prevents Fidelity from using participants' data to cross-sell products to them.
Warren proposes canceling student debt for millions
Her campaign proposal would link the extent of loan forgiveness to individuals' household income.
Wells Fargo annual meeting ‘less relevant’ amid bank’s CEO search
The bank's shares have fallen 3.1% since CEO Tim Sloan resigned, compared with a 6.5% gain for the KBW Bank Index.
Older Americans are twice as likely to work now as in 1985
Retirement-age workers' participation rate in the labor force has cracked the 20% mark
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Consider diversity when it comes to mergers and acquisitions
Calculate the demographics when considering the value of adding advisers.
Variable annuity sales up big among independent broker-dealers
Interest-rate environment, growth of buffered annuities and loss of the DOL fiduciary rule helped grow sales by $3.7 billion last year.
Mariner to acquire $1.3 billion RIA in Florida
Singer Xenos Schechter Sosler, based in Coral Gables, is firm's sixth acquisition this year.
Massachusetts charges adviser with concealing information in marijuana deals
Frederick V. McDonald, Jr. allegedly failed to disclose risks and his own conflicts.
Finra bars former Aegis broker for churning
James Schwartz made 256 unauthorized trades in accounts of four clients.
InvestmentNews announces 2019 Innovation Awards winners
Sheryl Garrett is this year's InvestmentNews Icon.
BlackRock rebounds as clients move from cash to fixed income
The world's largest asset manager saw $65 billion in net inflows in Q1.
3 ways to improve adviser technology
Advisers must evaluate what technology they need to stay profitable, as well as the value of technology investments to their clients.
