WealthManagement.com Daily Memo
Wealth Management Daily Memo

MAY 14, 2021

BUSINESS PLANNING

As RIAs Grow, So Do Employment-Related Issues

Legal issues related to hiring—and firing—advisors are becoming more commonplace, says RIA counselor Brian Hamburger.

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INDUSTRY

This Week in Wealth Management M&A Deals

The mergers, acquisitions and deals you may have missed the week of May 10, 2021.

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SPONSORED CONTENT

Historic Pattern of Mid Cap Outperformance

Are mid caps more resilient in times of crisis?

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REGULATION AND COMPLIANCE

SEC Charges Texas RIA in $3.7M Fraud

Knight Nguyen Investments raised at least $3.7 million from a number of advisory clients and retail investors for high-risk and fraudulent securities offerings, according to the SEC.

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INDUSTRY

Vanguard to Open Dallas Office as Texas Becomes a Hotbed

The Dallas-Fort Worth outpost will accommodate financial advisers and tech-support staff.

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SPONSORED WEBINAR

AI and the Future of Financial Management

The role of finance leaders and advisors, within financial services, is changing for the better. Join this webinar on May 18th and hear from Aaron Harris, CTO at Sage, as he shares his vision of the future of financial management and how AI can empower your finance team and build continuous trust.

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EQUITIES

U.S. Equities Keep Soaring, but Some Sectors Remain Unloved

There should be substantial leverage to the upside in financials and energy when interest rates rise, writes ClearBridge's Michael Clarfeld.

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MARKETING

Design Irresistibly Clickable Video Thumbnails

Similar to a book cover or email subject line, a good video thumbnail will entice your viewers to take the next step.

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