WealthManagment.com Daily Memo
 
Wealth Management Daily Memo

OCTOBER 12, 2022

REGULATION AND COMPLIANCE

Galvin Accuses RIA of Failing To Supervise Risky ETF Recommendations

The order concerning New Harbor Financial Group's recommendation of an inverse leveraged ETF comes several months after the Commonwealth Secretary announced an investigation into b/ds distributing single-stock ETFs.

FULL ARTICLE

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RIA NEWS

SageView Advisory Group to Acquire $415M Lakeview Wealth Management

Chicago-based and women-led, the former LPL affiliate will join SageView as it continues to build out its wealth management capabilities alongside retirement plans.

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WHITE PAPER

The Power of Stress Testing

Stress testing is a dynamic and powerful tool for measuring and explaining the risks associated with potential market events. When advisors address risk head-on with real world scenarios, it highlights the value of the relationship, encourages conversations that support long-term investing and helps align client goals with their risk tolerances.

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RIA NEWS

Journey Strategic Wealth Recruits 3 Teams, $210M in Assets

The new teams come from Private Advisor Group, Raymond James and New York Life subsidiary Eagle Strategies.

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401KTV

401(k) Real Talk Episode 37: October 12, 2022

Open, honest and candid discussions about the latest news in the RPA industry.

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