$3 billion AUM Compound Planning lures eight advisors, and Focus Financial, Apella and LPL’s affiliate RIA arm also make multi-million dollar additions.
FINRA looks to make it easier for BDCs to access IPOs with an exemption from Rules 5130 and 51031 (b), reports AltsWire. Vanguard will restructure its advisory units into two wholly owned entities, according to Ignites.com. These are among the investment must reads we found this week for financial advisors.
Ryan Nauman and Brad Roth discuss the use of AI and alternative data sources, the advantages of automated investment systems, and the importance of minimizing drawdown risk through low volatility strategies.
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