WealthManagment.com Daily Memo
Wealth Management Daily Memo

JANUARY 22, 2021

INDUSTRY

Schwab Acknowledges Poor Service As Advisors Suffer

Schwab admitted it is providing advisors with poor service lately, but its ongoing integration with TDAI isn't to blame, it said.

FULL ARTICLE

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REGULATION AND COMPLIANCE

FINRA Bars Broker Over Undisclosed Transactions

Gary Wayne Hammond allegedly failed to inform his firm of transactions totaling more than $1.6 million, including significant investments in his half-brother's companies, which FINRA claims were Ponzi schemes.

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SPONSORED CONTENT

FastChat Video: Top Five Risk Statistics to Apply to your 2021 Portfolios

An informative review of the statistics available to financial advisors to conduct manager due diligence in 2021.

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INDUSTRY

The RIA Deals This Week

Here are the breakaways, mergers and acquisitions announced the week of Jan. 18, 2021.

FULL ARTICLE

TECHNOLOGY

Riskalyze Fintech Report Card: December 2020

Riskalyze CEO Aaron Klein provides his take on the biggest news to hit advisor technology in the previous month.

FULL ARTICLE

SPONSORED CONTENT

Own Your Value

5 Strategies to Showcase Why Your Financial Guidance Matters

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ESTATE PLANNING

IRS Issues Final Regulations on Carried Interests

The final regs depart significantly from the proposals released on July 31, 2020.

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MICHAEL KITCES' #FASUCCESS PODCAST

Sten Morgan on Quanitifying the Value of His Financial Advice

Legacy Investment Planning's Sten Morgan details in depth his "the advisor is the product" philosophy.

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SPONSORED WEBINAR

ETF Model Portfolios & Thematic Equity

In this webinar on Jan. 26, we’ll provide our insights and expectations for the year ahead while discussing how ETF model portfolios can help you to potentially expand your business in an environment that is constantly evolving.

REGISTER NOW