WealthManagment.com Daily Memo
Wealth Management Daily Memo

DECEMBER 10, 2020

REGULATION AND COMPLIANCE

SEC Enforcement Division Director To Step Down By Year's End

Stephanie Avakian has served as the head of the division for four years, and oversaw investigations into Wells Fargo's supervision of investment advisors as well as the Share Class Selection Disclosure Initiative.  

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INDUSTRY

Raymond James to Purchase Retirement Plan Administrator NWPS

The acquisition, which comes in the wake of the SECURE Act, will bring more retirement services to Raymond James’ 8,200 advisors.

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SPONSORED CONTENT

Year-End Tax Planning Resources

Leverage our suite of white papers, studies, and other useful materials to tackle year-end tax planning.

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MICHAEL KITCES' #FASUCCESS PODCAST

How to Build Your Business Without Prospecting with Blair duQuesnay

By design and her choice, Blair duQuesnay doesn’t actively prospect for business and instead focuses on the client relationships and the investment committee work she enjoys most.

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WEALTHIES CIRCLE PODCAST

Managing Financial Risk with Riskalyze

Riskalyze CEO Aaron Klein introduces the firm’s digital technology designed to help financial advisors and their clients manage risk.

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Wealthies Circle Spotlight

Should You Outsource Your Investment Management?

Outsourcing is not for everyone. By asking yourself three questions, you can determine if you are a good candidate for outsourcing your investments.

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VISIT THE WEALTHIES CIRCLE