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Wealth Management Morning Memo

DECEMBER 16, 2019

Schwab’s Bernie Clark: “We Are in the Small Advisor Space”

Diana Britton

The custodian has relationships with 7,500 registered investment advisors, 4,500 of which have under $100 million in client assets. What's changing, he said, is a move toward specialization based on needs, not assets.

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Retirement Planning

How One Focus Group Changed JOYN Advisors for the Better

Asia Martin

JOYN Advisors upped its eldercare planning game with an open-to-the-public workshop.

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HSAs: Your Guide to an Evolving Industry

Sponsored by HSA Bank

Learn how HSA assets are increasing and benefiting accountholders.

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Retirement Planning

Next-Gen White Label Funds

Ed McCarthy

Gain flexibility while uncluttering your platform.

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SPONSORED CONTENT

Destination RIA: What to Expect and How to Prepare for Independence

Sponsored by BNY Mellon's Pershing

Are you ready to RIA?

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The Daily Brief

SEC Cracks Down on Colorado Lawyers' Microcaps Scam

Asia Martin

The SEC charged two attorney's, a divorce lawyer and securities lawyer, with fraud.

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FINRA Completes Year-Long Consolidation of Exam Functions

Diana Britton

The SRO will conduct its member exams under this new structure starting Jan. 1. Here's what it will look like.

FULL ARTICLE