View Online

MARCH 1, 2021

REGULATION AND COMPLIANCE

RIA CapWealth Takes on SEC Over 12b-1 Disclosures

Patrick Donachie

CapWealth's Tim Pagliara argues the commission's case against his firm is 'riddled with holes' and should be dropped.

FULL ARTICLE

EDITOR'S LETTER

Fee Fight

David Armstrong

A recent Twitter dispute between Larry Swedroe and Rick Ferri reignited the debate about financial advisor fees.

FULL ARTICLE

Sponsored by Orion Advisor Tech

Discover how technology can help you win new business, map out financial goals, tailor portfolios to match client goals, and measure your progress.

DOWNLOAD NOW

HIGH NET WORTH

Elizabeth Warren, Other Progressives Propose ‘Ultra-Millionaire’ Tax

Erik Wasson

The Ultra-Millionaire Tax Act would levy a 2% annual tax on households and trusts valued at between $50 million and $1 billion. All net worth over $1 billion would be taxed at 3%.

FULL ARTICLE

INDUSTRY

Merrill Lynch Ramps Up Wealth Unit as Rich Clients Flock to Florida

Lananh Nguyen

Merrill Lynch Wealth Management President Andy Sieg said the unit is intensifying its focus on the Sunshine State.

FULL ARTICLE

Advertisement