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Wealth Management Morning Memo

APRIL 4, 2024

REGULATION AND COMPLIANCE

RIA Senvest To Pay $6.5M for Text Message Record-Keeping Failures

Patrick Donachie

Firm employees sent and received “thousands” of off-channel business-related messages during the time in question, according to the SEC.

FULL ARTICLE

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MUTUAL FUNDS

Mutual Funds See Rare Uptick in Inflows

David Bodamer

Mutual funds experienced net inflows of $13 billion in February, according to Cerulli, but it was likely a blip rather than a turning point.

FULL ARTICLE

WMTV ON LOCATION

Insights From Advyzon’s Inaugural Conference With John Mackowiak

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Learn how Advyzon's commitment to client education and product innovation wowed at their inaugural event.

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HIGH NET WORTH

New Scam Offers to Set up Sham Online Accounts on IRS’ Website

Anna Sulkin Stern

Both taxpayers and professionals are potential targets.

FULL ARTICLE

HIGH NET WORTH

Six Steps to Avoid Family Collapse During Sudden Change

Amy A. Castoro

Don’t let the business unravel if the founder is silenced by illness or death.

FULL ARTICLE

SPONSORED CONTENT

How Have Elections Moved Markets?

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Podcasts

ADJUSTED FOR RISK PODCAST

The 'Father of Fiduciary' on the Evolution of the Fiduciary Framework

Ryan Nauman

Don Trone shares why he believes the fiduciary framework should no longer be the cornerstone of the financial services profession.

LISTEN NOW

THE WEALTHSTACK PODCAST

Top Tactics for High-Growth Firms with Sara Baker

Shannon Rosic

Triad Wealth Partners' Sara Baker details the innovation and tailor client experiences high-growth firms use to differentiate in a 'sea of sameness.'

Sponsored by TradePMR

LISTEN NOW

WEBINAR

Winning Growth Strategies for Advisors in 2024

Sponsored by AssetMark

Join us on April 18th to unlock winning growth strategies for advisors in 2024, navigating the evolving financial landscape.

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