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Wealth Management Morning Memo

JANUARY 6, 2024

ESTATE PLANNING

How Well Do You Know the Latest Trusts and Estate Planning Developments?

WealthManagement.com Staff

Find out if you understand the key strategies and techniques used by estate-planning practitioners

FULL ARTICLE

REGULATION AND COMPLIANCE

LPL Settles With FINRA For $6M Over Reg BI Lapses

Patrick Donachie

The firm agreed to settle charges with the regulator after it charged LPL Financial supervisors failed to ensure the suitability of certain transactions made by reps on behalf of clients.

FULL ARTICLE

WHITE PAPER

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COLUMN

In 2024, AI To Bring Small Improvements—and Bigger Threats

Davis Janowski

What does the history of John Deere, a 185-year-old agricultural company, have to tell us about the state of AI in advisor technology?

FULL ARTICLE

HIGH NET WORTH

The Wealthiest People to Watch in 2024

Jordan Fitzgerald

Elon Musk led the world’s richest to a $1.5 trillion wealth gain in 2023.

FULL ARTICLE

TECHNOLOGY

The Word on WealthTech for January 2024

Doug Fritz

F2 Strategy co-founder and CEO Doug Fritz provides his take on the most important wealth management technology news of the last month.

FULL ARTICLE

RIA NEWS

Dakota Acquires $350M Massachusetts RIA

Diana Britton

The deal with C2C Wealth Management represents Dakota’s fourth transaction since June 1, and third office in Massachusetts.

RELATED:  Dakota Wealth Adds $600M in 2nd Deal This Week

FULL ARTICLE

WHAT'S IN MY WEALTHSTACK

CFS Investment Advisory Services: It’s All About The Custodian

Rob Burgess

Greg Makowski, founding partner of $2 billion AUM CFS, relies on custodian Raymond James for much of its technology.

FULL ARTICLE

RIA NEWS

Waverly Advisors Announces Largest Deal Yet

Diana Britton

The Birmingham, Ala.-based RIA acquired the investment advisory business of StrategIQ Financial Group, adding $1.5 billion in assets.

FULL ARTICLE

RIA NEWS

Mercer Advisors Acquires $465M Colorado Firm

Patrick Donachie

Transitions Wealth Management serves approximately 400 clients and is based out of Denver.

FULL ARTICLE

HIGH NET WORTH

FinCEN Issues New Rule on Access to Beneficial Owner Information Under CTA

Evgeny Magidenko and Maria P. Ortega

Disclosure limited to six categories of recipients.

FULL ARTICLE
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