Wealth Management Daily Memo

APRIL 27, 2021

REGULATION AND COMPLIANCE

PIABA Pushes FINRA to Resume In-Person Arbitration Hearings

Patrick Donachie

While many courts and private arbitration forums have already opened, FINRA continues to postpone in-person arbitration, keeping investors from recovering their losses, PIABA argues in a recent letter.

Advertisement

INDUSTRY

Advisor Gary Pittsford Sells Castle Wealth Advisors to Creative Planning

Asia Martin

Creative Planning expands its Midwest presence with the acquisition of Indianapolis-based, $320 million AUM Castle Wealth Advisors.

SPONSORED CONTENT

Syntax Stratified, the Difference is Weighting

Sponsored by Syntax Advisors

See the impact of Syntax Stratified business risk allocation since the market bottom.

RETIREMENT PLANNING

Will PEPs Get Peppier?

Ed McCarthy

With pooled provider options slow to develop, some industry participants are cautious about PEPs’ prospects.

INDUSTRY

Stone Point and GIC Near $3 Billion Deal for Ascensus

Matthew Monks

The investment firms are buying the company from backers including Genstar Capital, Aquiline Capital Partners and Atlas Merchant Capital.

SPONSORED CONTENT

Prepare for Risk with Forward-Looking Scenarios

Sponsored by HiddenLevers

Focusing on volatility won't prepare clients for the future.

DOWNLOAD WHITE PAPER