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Wealth Management Daily Memo

APRIL 30, 2021

REGULATION AND COMPLIANCE

J.P. Morgan Offers 'Clarification' on Place in Broker Protocol

Patrick Donachie

In a letter to the firm that administers the protocol, J.P. Morgan specified that its participation does not extend to its branch-based advisors, some of whom they are charging in court with soliciting former clients.

FULL ARTICLE

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INDUSTRY

Inside Wealth’s Guide to M&A Options

Asia Martin

Mercer Advisors, Dynasty Financial and Journey Strategic Wealth executives shared what RIAs should contemplate before selling their firms, either internally or externally.

FULL ARTICLE

SPONSORED CONTENT

The State of Muni Markets

Sponsored by Franklin Templeton

The $1.9 trillion stimulus package and its impact on munis.

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PEOPLE

Snowden Lane Hires Former Wells Fargo International Exec

Asia Martin

Doug Flaherty helped many advisors on his team find new homes after Wells exited the international business.

FULL ARTICLE

EQUITIES

Fund News Advisors Can Use: Peter Mallouk, Mark Cuban Turn Twitter Scuffle Into $2M Bet on Active Management, Crypto Future

Diana Britton

Creative Planning CEO Peter Mallouk and entrepreneur Mark Cuban make a big bet on crypto, Amazon and Netflix versus the S&P 500; Nottingham gets approval for mutual fund-to-ETF conversion; and CI Global launches an Ethereum mutual fund.

FULL ARTICLE

SPONSORED CONTENT

Managing Irrevocable Trust Assets: Heed the “Guardrails”

Sponsored by BOK Financial

Are you fully aware of risks and responsibilities involved with managing irrevocable trust assets?

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Podcasts

MINDY DIAMOND ON INDEPENDENCE

A $500M UBS Breakaway Success Story

Mindy Diamond

Steven Tenney, founding partner and CEO, Great Diamond Partners, discusses "what's in it for clients."

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INSIDE THE DEAL M&A PODCAST

Part 1: Deal Readiness

Harris Baltch

How do RIAs know if they are M&A ready? How are deals sourced? Dynasty's Harris Baltch is joined by Mark Tibergien, former CEO of Pershing Advisor Solutions, and Brad Armstrong, partner at Lovell Minnick Partners, to delve into the key criteria for M&A deal readiness, how to access the best COIs for originating high quality M&A opportunities and more.

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SPONSORED WEBINAR

AI and the Future of Financial Management

Sponsored by Sage Intacct

The role of finance leaders and advisors, within financial services, is changing for the better. Join this webinar on May 18 and hear from Aaron Harris, CTO at Sage, as he shares his vision of the future of financial management and how AI can empower your finance team and build continuous trust.

REGISTER NOW