Morning Memo
Wealth Management Morning Memo

NOVEMBER 10, 2020

REGULATION AND COMPLIANCE

Schwab Panel: Election, Vaccine Bring Stability, But Democrats' Plans Face Uphill Battle

Speaking at the custodian's conference, the panel said a divided Congress would likely mean a diminished COVID-19 stimulus as well as a more difficult road for President-elect Joe Biden's tax policies.  

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TECHNOLOGY

Smarsh To Acquire AI Pioneer Digital Reasoning

The combined firms will represent a power house in the application of natural language processing and machine learning across multiple industries, with initial focus on financial services.  

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SPONSORED CONTENT

The Uncertainty of Social Security

Cloudy Social Security future drives financial planning emphasis.

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REAL ESTATE

DSTs Gain Favor as a Fractional CRE Ownership Structure

Fractional ownership structures continue to attract a wide cross-section of investors to the commercial real estate sector.

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SPONSORED WEBINAR

The Future of America: Who Won & Why

Join Frank Luntz and other industry experts across politics and finance as they share their views on the results of U.S. election.

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Wealthies Circle Spotlight

SPONSORED CONTENT

Synthetic Equity: An Innovative Approach to Compensation

Learn how this powerful compensation tool offers key ownership benefits, without the transfer of actual stock.

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The Daily Brief

INDUSTRY

Merchant Investment Management Takes Minority Stake in Baldwin Brothers

Merchant Investment Management's minority investment in the $1.2 billion in AUM firm is meant to propel growth, Baldwin Brothers CEO says.

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REGULATION AND COMPLIANCE

SEC: Unregistered Brokers Pushed Investors to Purchase Microcap Securities

The SEC claimed that Hughe Duwayne Graham, Donald Lee Howard, and Larry Louis Matyas collectively made more than $920,000 in commissions for soliciting investors about purchasing stock in U.S. Lighting Group.

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WEALTHIES CIRCLE DIGITAL FORUM

Asset Management: The Changing Opportunity

Join a series of live, interactive panel discussions scheduled for Nov. 17 starting at 3pm ET / 12pm PT that will cover the current state and future direction of asset management - featuring executives from finalist firms and industry experts.

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