JULY 10, 2019

INDUSTRY

Consolidators Lead Another Record Quarter for RIA Deals

Michael Thrasher

There were a record 52 mergers or acquisitions involving RIAs in the second quarter, up from a previous high of 49 in the first quarter of the year, according to Echelon Partners.

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REGULATION AND COMPLIANCE

U.S. House Passes Resolution Urging the SEC to Work With State Securities Regulators

Diana Britton

The resolution puts pressure on the SEC to collaborate more with state securities regulators, especially on matters of investor protection.

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BUSINESS PLANNING

Fifteen Truths of Elite Wealth Management Teams

Matt Oechsli

This is your roadmap to elite status.

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