WM Morning Memo
 
Wealth Management Daily Memo

SEPTEMBER 10, 2024

REGULATION AND COMPLIANCE

RIAs to Pay $1.2M To Settle SEC Marketing Rule Violations

The firms named include Integrated Advisors Network, Richard Berstein Advisors and Abacus Planning Group, all of which paid six-figure fines.

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ALTERNATIVE INVESTMENTS

Individual Investors Forced to Ride the Bench Amid NFL's Embrace of Private Equity

While the NFL is welcoming some private equity players, its rules are more stringent than those adopted by other professional leagues, meaning funds allowing individual investor participation are not eligible.

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2024 MIDYEAR OUTLOOK
Myths and Realities of Succession Planning

Sponsored by Oak Street Funding

Succession planning is essential for every RIA owner, regardless of retirement timelines, to secure a smooth transition and future growth.
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PODCAST

Adjusted for Risk: How AI Will Bring Financial Advisors, Clients Closer

Verdence Capital's Leo Kelly details how artificial intelligence and enhance the evolving relationship between advisors and clients.

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RETIREMENT PLANNING

Americans Have a New Piggy Bank to Raid — Their Houses

Home equity loans are beginning to look more attractive after fading into irrelevance after the financial crisis.

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FASTCHAT VIDEO
Tackling the Great Wealth Transfer With Technology

Sponsored by Apex Fintech Solutions

Megan Hausmann, Senior Director - Advisory Success at Apex Fintech Solutions, emphasizes the need for advisors to adapt their technology to meet the needs of the next generation of investors amidst a significant wealth transfer.
Watch Now >

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HIGH NET WORTH

How a Trump or Harris Presidency Might Affect Different Social Classes

From taxes to tariffs, several changes are being discussed on the campaign trail that would result in new benefits for some and new burdens for others.

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2024 WEALTHIES

WealthManagement.com Celebrates Top Companies, Executives at 2024 Industry Awards

Judges recognized 84 companies for their outstanding support of financial advisor success from among 287 finalists.

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