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Wealth Management Daily Memo

OCTOBER 1, 2021

REGULATION AND COMPLIANCE

SEC, DOJ Claim Illinois Advisor Stole Nearly $1M from Elderly Clients

Patrick Donachie

Naseem Mohammed Salamah is charged with stealing nearly $970,000 from three elderly clients and spending the funds on vacations and luxury car leases.

FULL ARTICLE

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MUTUAL FUNDS

Fund News Advisors Can Use: A Big Week for Direct Indexing

Diana Britton

In this week's fund news, firms bulk up their direct indexing capabilities, Vanguard merges target-date funds, DFA expands its SMAs and slashes minimums, and a new BlackRock tool helps advisors invest in private markets.

FULL ARTICLE

RIA EDGE PODCAST

Chequers’ Megan Gorman on How RIAs Can Build a Brand and Voice

Sponsored by Schwab Advisor Services

Megan Gorman, founder and managing partner of Chequers Financial Management, discusses the marketing strategies she uses to connect with clients and identify new opportunities.

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TECHNOLOGY

Merrill Lynch Rolls Out MAX, Docupace Acquires PreciseFP and Benjamin Gets Schwab Alerts

Davis Janowski

Thundering Herd advisors have a sophisticated new mobile app, while Docupace acquires onboarding application PreciseFP and other news.

FULL ARTICLE

INDUSTRY

BlackRock to Start Return-to-Office Pilot Program on Nov. 1

Silla Brush

More than half of the firm's employees will be expected to work in the office at least three days a week.

FULL ARTICLE

SPONSORED CONTENT

The Moneyball Approach to New Age Portfolio Management

Sponsored by New Age Alpha

Join us on Tuesday, Oct. 12th for a discussion that will cover how to apply a Moneyball approach to investing and portfolio management.

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Wealthies Circle Spotlight

3 Reasons to Join a Boutique Broker-Dealer

Contributed by Prospera Financial Services

Big doesn’t always mean better. Learn more about the advantages of a boutique firm and how it could advance your career.

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