Morning Memo
Wealth Management Morning Memo

OCTOBER 29, 2021

CLIENT RELATIONS

Five Tips for Setting Fees—What You Need to Know

Think about the needs and current financial situations of the clients you want to attract for the long-term.

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REGULATION AND COMPLIANCE

SEC Argues Another Firm Missed Form CRS Filing Deadlines

The order concerning Lexion Capital Management comes one week after the commission claimed a Syracuse-based firm failed to file and deliver their form to the SEC and clients.

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Managing Portfolio Construction

Advisors may not be taking full advantage of the resources available to them.

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BUSINESS PLANNING

How to Implement Best Practices After a Conference

Four tips on how to make the most out of what you learn at a conference.

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MINDY DIAMOND ON INDEPENDENCE

Stifel’s $400B Success Story

Stifel CEO Ron Kruszewski shares what the term "regional firm" represents today.

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China’s Regulatory Crackdown: A Cautionary Tale for Investors

China’s recent regulatory crackdown has targeted specific sectors. Savvy investors should plot a more diversified approach that avoids sector and stock concentrations.

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ESTATE PLANNING

Ten Estate Planning Lessons From HBO’s "Succession"

Many of the planning challenges the ultrarich Roys face are wealth agnostic and relevant to all families.

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RETIREMENT PLANNING

The 10 States With the Most and Least Retirement Savings

Tax burden, cost of living and the general wealth of residents are all key factors.

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