Wealth Management Daily Memo

JUNE 28, 2022

REGULATION AND COMPLIANCE

CFP Board Suspends Rep Charged in SEC’s First Reg BI Case

Patrick Donachie

Patrick Egan’s interim suspension went into effect on June 21. Egan is a representative with the California-based firm Western International Securities, which was also named in the SEC's complaint.

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RIA NEWS

MAI Capital Management Acquires Winfield Associates

Ali Hibbs

MAI Capital Management absorbs a Cleveland team with $368 million in AUM.

WHITE PAPER

Modernizing Tax to Drive Better Bottom Lines

Sponsored by Wolters Kluwer

How to turbo charge your tax automation for better results.

ADVISOR INNOVATIONS PODCAST

Advisor Innovations: Shirl Penney on The Modern Independent Advisor

David Armstrong

The president and CEO of Dynasty Financial Partners discusses the history and ecosystem of the independent financial advisor movement.

Sponsored by LPL Financial

EQUITIES

Average Investors Should Try and Time Markets

Jared Dillian

It doesn’t mean going all in or out but rather tweaking allocations in response to telltale signals.

SPONSORED WEBINAR

5 Advisor Portal Views for Eliminating Operational Pain Points

Sponsored by STP Investment Services

Join on June 30th as presenters walk through five critical portal views that will help you engineer plans for success and discuss best practices for customizing your data to meet your unique leads.