Wealth Management Daily Memo

DECEMBER 21, 2021

REGULATION AND COMPLIANCE

Avantax, SEC To Settle 1st Global Mutual Fund Share Class Allegations

Patrick Donachie

The firm will pay more than $16 million after the SEC argued 1st Global Advisors recommended certain mutual fund share classes for clients when more affordable options were available.

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RETIREMENT PLANNING

2022 Outlook: What Plan Advisors Should Monitor

Ed McCarthy

Industry experts share their insights on what 2022 might bring.

SPONSORED CONTENT

Wealth Planning Strategies in 2022

Sponsored by Parametric

A roadmap for success.

RIA EDGE PODCAST

Merit’s Kay Lynn Mayhue on Building a National Wealth Management Firm

Mark Bruno

Merit Financial Advisors President Kay Lynn Mayhue provides a look under the hood at the firm's recent acquisitions and rapid growth.

Sponsored by Schwab Advisor Services

REAL ESTATE

Making a Pivot: How Origin Investments Changed its Strategy with the Change in the Market

Jenn Elliot

The investment fund manager used to focus on value-add multifamily. Then it discovered the play no longer made sense.

SPONSORED CONTENT

Five Steps To Help Your Team Develop and Pursue A Shared Purpose

Sponsored by Schwab Advisor Services

See why, no matter if you’re on a team of two or 20, developing a plan everyone agrees on is crucial.