WealthManagment.com Daily Memo
 
Wealth Management Daily Memo

JULY 31, 2023

REGULATION AND COMPLIANCE

SEC Charges Former Cetera Rep With Stealing $2.4M From Elderly Client

According to the commission, Clarice Saw liquidated the securities of her 87-year old client without his knowledge when he was hospitalized.

FULL ARTICLE

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RPA EDGE

The Value of 401(k) Wholesalers

And why the DC industry tends to tend to undervalue them.

FULL ARTICLE

WMIQ EXCLUSIVE RESEARCH

New Research Details Shift In Attitudes Toward Alternative Investments

According to the latest WealthManagement IQ research, the disappointing performance of equity and fixed-income investments in 2022 only served to heighten advisors’ interest in alts.

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HIGH NET WORTH

The Tax-Saving Potential of Gifts and Sales to Family Trusts

A recent gift tax case involving the founders of Firehouse Subs illustrates both the benefits and risks involved with this technique.

FULL ARTICLE

FOCUSED ON THE FUTURE PODCAST

Heather Fortner Shares Her Journey, Lessons and Advice on Making it to the C-Suite

The CEO of SignatureFD discusses the importance of understanding people’s motivations, the evolution of a firm’s messaging and why inclusion is key to a positive culture.

Sponsored by Commonwealth

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SPONSORED CONTENT

Taming Volatility With a Flexible Retirement Portfolio

How whole life insurance can help retirees prepare for market downturns.

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