Wealth Management
 
WealthManagment.com Daily Memo
Wealth Management Daily Memo

SEPTEMBER 24, 2024

REGULATION & COMPLIANCE

Stifel, Invesco Among 11 Firms Paying $88M To Settle SEC Off-Channel Communications Violations

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.

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TECHNOLOGY

Altruist Adds Digital Fixed Income Trading to Platform

The RIA custodian partnered with fixed income tech startup Moment to power the new features.

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WHITE PAPER
Revolutionize Client Onboarding with Automation

Sponsored by Laserfiche

Amplify efficiency, enhance the client experience, and support compliance.
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PEOPLE

Mercer Advisors Hires New Chief People Officer

Elizabeth Hioe, a former McKinsey executive, replaces Martine Lellis, who was promoted to principal of M&A partner development in May.

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TECHNOLOGY

Addepar Launches Trading Platform

The technology provider serving over 1,000 firms globally also rolled out new dashboards and other product enhancements.

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WEBINAR
Cracking the Code on RIA Organic Growth

Sponsored by Fidelity Investments

Join our webinar as Fidelity Investments and three growth-oriented RIAs discuss key levers of organic growth that are driving wealth management
Register Now >

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RIA NEWS

Summit Financial Stakes 2 RIAs With $470M in Assets

The advisory firm takes minority stakes in BFG Wealth and Canon Capital Wealth Management.

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REAL ESTATE

The Commercial-Property Market Is Coming Back to Life

There’s still a level of uncertainty lingering in the industry, causing some investors to remain cautious about jumping in too early.

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