Wealth Management Daily Memo

FEBRUARY 8, 2021

INDUSTRY

Cetera Acquires Voya Financial Advisors Assets

Samuel Steinberger and Diana Britton

Cetera Financial Group entered into a definitive agreement to acquire assets pertaining to Voya Financial Advisors.

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REGULATION AND COMPLIANCE

SEC Charges California Unregistered Brokers With Fraud

Patrick Donachie

According to the SEC complaint, the defendants would raise funds from clients without investing them, and would often use them to pay for personal expenses.

SPONSORED CONTENT

Top Five Risk Statistics to Apply to your 2021 Portfolios

Sponsored by Zephyr

A discussion of the risk statistics available to advisors, and how to make sense of all the options to make the most informed decisions.

CAREERS

Independent RIA Vs. Tuck-In: A Guide or Advisors Seeking Independence

Travis Johnson

Transition options should be viewed as a spectrum, not a black and white choice.

ETFS

Active ETFs Surge Past $200 Billion in Ark Invest’s Record Week

Claire Ballentine

While active ETFs still make up only 3.5% of the $5.7 trillion industry, they’ve been steadily growing -- with inflows reaching a record of over $55 billion in 2020.

SPONSORED CONTENT

The After-Tax Advisor

Sponsored by Eaton Vance

If becoming an After-Tax Advisor could result in these outcomes, would you want to learn more? This primer will get you started.

FIXED INCOME

Yellen, Summers Spar About Overheating Risk in Stimulus Plan

Rich Miller

Financial markets are increasingly reflecting expectations for a strong rebound and investors don’t seem concerned about inflation.

THE STEPHEN AND KEVIN SHOW

Questions to Help Advisors Qualify CPAs

Stephen Boswell and Kevin Nichols

Instead of attempting to script a meeting with a CPA, come armed with a handful of questions to get the conversation rolling.

WEALTHIES CIRCLE DIGITAL FORUM

Operations Innovation: Managing the New Normal

Join us on Feb. 24th for the Technology CE Digital Forum event. Live, interactive sessions will be paneled by leading executives at award-winning firms covering the state and future direction of technology.