WealthManagment.com Daily Memo
 
Wealth Management Daily Memo

APRIL 8, 2022

REGULATION AND COMPLIANCE

Wells Fargo: There Is No Secret FINRA Agreement

In a court filing, Wells Fargo argued there was "no evidence in the record" supporting the existence of a verbal agreement between its counsel and FINRA to exclude certain arbitrators from their cases.

FULL ARTICLE

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TECHNOLOGY

This Week's Funding In Tech: CAIS, Ellevest and Eaglebrook Advisors

Wealthtech firms announced more than $150 million in investments across alts, female-focused investing and crypto.

FULL ARTICLE

FASTCHAT VIDEO

Transitioning your Business: Growth as an Advisor

Watch as Andrew D. Urbanski, at Wells Fargo Advisors, Private Wealth Financial Advisor discusses transitioning your business and growth as an advisor.

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INSIDE ETFS PODCAST

Dimensional’s Lisa Dallmer

Dimensional Fund Advisors COO Lisa Dallmer discusses culture, volatility and portfolio allocation in today’s capital markets.

Sponsored by Schwab Asset Management

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ALTERNATIVE INVESTMENTS

Apollo Adds 150 in Global Wealth, Poaching From Goldman and HSBC

Part of Apollo's plan to expand the business will involve making it easier to get into private credit, real estate and buyout funds through technology.

FULL ARTICLE

SPONSORED WEBINAR

The Role of Risk Manager with Hedged Equity Solutions

Join this upcoming webinar on Wed. April 27th for a discussion on risk drivers and opportunities in the current market environment, fed policy and the impact on balanced portfolios, and much more.

REGISTER NOW