Wealth Management Daily Memo

APRIL 12, 2021

REGULATION AND COMPLIANCE

RIAs Run Risk of Falling Short on DOL Rule Compliance

Patrick Donachie

Some legal experts say RIAs are not doing enough to comply with the new rule, especially when it comes to rollover advice.

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$650M Team Leaves Merrill Lynch for LPL Financial

Asia Martin

Four former Bank of America Merrill Lynch advisors launched an independent practice via LPL's new Strategic Wealth Services affiliation model.

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The Power of Durable Dividends

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Dividends have stabilized after a tough 2020. What comes next?

INSURANCE

Unlocking the Value of Cost Basis in Unlikely Places

Marko Djuranovic and Barbara Novak

Many policyowners and advisors ignore cost basis to their own detriment.

CLIENT RELATIONS

Creating a Post-Pandemic Client Experience of Your Own

Brandon Moss

Well-designed client experiences lead to higher profits and valuations.

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Five principles for effective marketing communication with HNW investors.