Morning Memo
Wealth Management Morning Memo

APRIL 29, 2021

ADVISOR CHANNELS

2021 IBD Report Card

How happy are advisors with their affiliated Independent Broker/Dealers?

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INDUSTRY

$2B AUM Cedar Brook Group Leaves Advisor Group for Atria

The move is the largest so far for the five-year-old Atria Wealth Solutions, a network of advisory firms backed by Lee Equity Partners.

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SPONSORED CONTENT

Mega Trends Likely to Impact ESG Investors

Discover the mega trends that may affect both risk and opportunity for ESG investors.

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REGULATION AND COMPLIANCE

Barred Broker Charged With Defrauding Investors of $436,000

Peter Quartararo convinced investors that he could purchase shares of companies like Peloton or AirBnb before their initial public offerings, according to prosecutors and the SEC.  

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INSURANCE

The Sensitivity of Indexed Universal Life - Part 3

The importance of conservative assumptions.

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SPONSORED CONTENT

The Next Frontier of Fixed Income ESG Investing

Join us for this exclusive webcast on May 4th to hear insights about the evolution of fixed income ESG investing, different approaches to ESG engagement, characteristics of ESG fixed income portfolios, and more.

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PEOPLE

SEC Enforcement Chief Alex Oh Resigns Just Days After Taking Job

Melissa Hodgman, who was previously serving as acting director of the enforcement unit, will return to that role.

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ETFS

SEC Punts Long-Awaited Bitcoin ETF Decision to at Least June

The SEC said in a filing Wednesday that the agency is pushing its decision on whether to “approve or disapprove, or institute proceedings to determine whether to disapprove” the structure to June 17.

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