Wealth Management Daily Memo

APRIL 25, 2022

PEOPLE

LPL Lures Merrill’s Head of Digital to Replace Burt White

Diana Britton

The largest IBD has also tapped Matt Enyedi, head of business solutions, as its new head of national sales and marketing.

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REGULATION AND COMPLIANCE

SEC Fines NY Firm For Form CRS Lapse

Patrick Donachie

The commission argued that ARS Capital Advisors failed to deliver the disclosure document to clients by the June 2020 deadline.

SPONSORED CONTENT

Guide To Attracting And Serving HNW Clients

Sponsored by Orion Portfolio Solutions

There are more HNW clients available for advisors to serve than ever before. That means your chances of meeting and competing for their business increases every day. Here’s how to attract, serve and retain them.

HIGH NET WORTH

A Brief Primer on (Non)Fungibility

Komal Motwani

Before we can start talking about NFTs, it's necessary first to understand, what are fungible and non-fungible assets?

MARKETING

Branding Wealth Management for the Averagely Affluent

Ben Schott and Paul J. Davies

Your investment robo-advisor won’t see you now.

SPONSORED CONTENT

A Guide for Evaluating the Right Custodian to Support Your RIA

Sponsored by LPL Financial

Discover the custodian-comparison tool, designed to ensure you’re finding the right custodian for your RIA.

Podcasts

INSIDE ETFS PODCAST

Franklin Templeton’s Dina Ting on Engineering Portfolios of ETFs

Douglas Yones

Franklin Templeton's head of global index portfolio management provides the best practices for advisors looking to invest in ETFs.

Sponsored by Schwab Asset Management

RIA EDGE PODCAST

Thrivent Advisor Network's Carolyn Armitage on True Drivers of Growth in the RIA Space

Mark Bruno

The head of Thrivent Advisor Network discusses the key findings of the RIA Edge study.

Sponsored by Schwab Advisor Services

SPONSORED WEBINAR

Finding Consistency and Stability in the Current Global Environment

Sponsored by Schafer Cullen Capital Management

During this webinar on Tues. May 3rd, our presenters will discuss Schafer Cullen's core investment philosophy of investing with a price discipline, and why we believe investors could benefit from that approach.