WealthManagment.com Daily Memo
 
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Wealth Management Daily Memo

MARCH 14, 2022

BUSINESS PLANNING

How To Better Understand the Psyche of the Seller

Penny Phillips

Selling even a portion of an advisory business is a major decision and life event. It’s not one that should be rushed or taken lightly.

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REGULATION AND COMPLIANCE

FINRA Fines Jump 60% in 2021 Even As Case Numbers Dip

Patrick Donachie

Total fines would have fallen significantly over 2020 if not for the $57 million penalty against the trading app Robinhood, according to law firm Eversheds Sutherland.

FULL ARTICLE

SPONSORED REPORT

What Clients Want from their Real Estate Investment Managers

Sponsored by AppFolio Investment Management

Exclusive research from more than 100 investors details their goals and concerns about the real estate investment management best practices.  

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RPA EDGE

Strategically Utilizing Participant Data

Shawn O'Brien

Accurate participant data is a valuable asset to many retirement plan providers.

FULL ARTICLE

ETFS

Anti-ARK ETF Trades Above Cathie Wood’s Flagship for First Time

Vildana Hajric

The price of the Tuttle Capital Short Innovation ETF (SARK) on Friday closed higher than Wood’s ARK Innovation ETF (ARKK) for the first time.

FULL ARTICLE

SPONSORED CONTENT

Advanced Financial Strategies for HNW Clients

Sponsored by Commonwealth Financial Network

Explore comprehensive financial planning solutions for HNW clients.

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Podcasts

ADVISOR INNOVATIONS PODCAST

GeoWealth’s Colin Falls

David Armstrong

GeoWealth President Colin Falls on the firm's growth trajectory and how technology can ease the tension for RIAs between model portfolios and customized investment management.

Sponsored by LPL Financial

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INSIDE ETFS PODCAST

Agriculture Investing with Teucrium’s Sal Gilbertie

Douglas Yones

Teucrium CEO Sal Gilbertie shares how and why he decided to build an ETF franchise focused on commodities.

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SPONSORED WEBINAR

Decrypting the Crypto & NFT Opportunities in Wealth Planning

Sponsored by St. Jude Children's Research Hospital

Join us on Mar. 16th for this timely webinar that will examine the trends and opportunities that will bring crypto and NFTs to the mainstream.

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