Wealth Management Morning Memo

JANUARY 3, 2019

INDUSTRY

How Advisors Are Navigating A Partial Government Shutdown

Samuel Steinberger

While the partial shutdown is an immediate threat for clients, President Trump's executive order has the potential for a bigger impact.

ETFS

Inside ETFs Q&A with Dave Nadig: In Defense of ETFs in Illiquid Markets

Dan Weil

Illiquid markets aren’t the ETF apocalypse they're made out to be.

SPONSORED CONTENT

The #1 Lie of Advisor Marketing Companies

Sponsored by Snappy Kraken

Watch what you're being sold, it may not be what you think.

REGULATION AND COMPLIANCE

Why a Decline in Fines Doesn’t Mean Relaxed Enforcement

David Wagner

Despite numbers to the contrary, regulators are likely to double down on compliance in the near future.

2019 Market Forecast

New Year, New Challenges. 2019 promises to be an interesting year. Read our 2019 Market Outlook for forward-looking market trends and insightful forecasts.

The Daily Brief

TECHNOLOGY

Betterment's 2019 Goals Are Mobile, Financial Planning

Samuel Steinberger

The automated investing company expects to build on improvements made in client support and improved internal organization.

REGULATION AND COMPLIANCE

Lightyear Fined for Expense Allocation, Fee-Sharing Practices

Diana Britton

The private equity firm will pay a $400,000 fine to the Securities and Exchange Commission.

INDUSTRY

Peter Raimondi's Dakota Wealth Management Makes Third Acquisition

Michael Thrasher

Palm Beach Gardens, Fla.-based Dakota Wealth Management now has $700 million in assets under management.

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