Wealthmanagement Email Newsletter: A Cautionary Tale for Advisors and Political Contributions (June 13, 2024)


	JUNE 13, 2024

REGULATION AND COMPLIANCE


	Recent Pay-to-Play Case Is Cautionary Tale for Advisors and Political Contributions

Diana Britton

Political contributions can pose compliance concerns—and reputational risks—to firms in a hotly contested election year.

FULL ARTICLE

BUSINESS PLANNING


	A Strategic Approach to Asset Splitting Among RIA Custodians

Matt Sonnen

An RIA’s level of satisfaction with a custodian is directly correlated with the proportion of assets held with them.

FULL ARTICLE

RESOURCE CENTER


	How to Manage Intergenerational Wealth Transfer: Three Critical Strategies for Advisors

Sponsored by SS&C Black Diamond Wealth Platform

Learn the three critical strategies advisors can implement to ensure the retention of assets as they navigate the historic intergenerational wealth transfer, and position themselves as indispensable to their clients' heirs.

LEARN MORE


	Reimagining the Client Experience for the Next Generation of Financial Decision-Makers

Heather Robertson Fortner

Significant demographic shifts amongst those who hold wealth in the US illuminate an opportunity for financial firms to position themselves ahead of the curve.

FULL ARTICLE

BUSINESS PLANNING


	Avoiding Legal Nightmares and Pitfalls When On-Boarding New Advisors

John MacDonald

It’s easy to obsess over expanding your practice but don’t let that stop you from taking the simple legal steps necessary to protect all your hard work.

FULL ARTICLE

BUSINESS PLANNING


	Being An RIA Is All About Choice

Michael Nessim

Independence affords advisors the flexibility to break out on their own and still work with a broker/dealer on commissionable business.

FULL ARTICLE

REGULATION AND COMPLIANCE


	Wells Fargo Fires Over a Dozen for ‘Simulation of Keyboard Activity’

Hannah Levitt

The staffers, all in the firm’s wealth- and investment-management unit, were “discharged after review of allegations involving simulation of keyboard activity creating impression of active work.”

FULL ARTICLE


	Podcasts

THE HEALTHY ADVISOR PODCAST

The Juggle Is Real With Anna Howard and Kimberly Sanders

Diana Britton


	LPL executives Anna Howard and Kimberly Sanders are both highly accomplished leaders in wealth management. They’re also mothers, and speak openly about their struggles to find balance, which can be especially hard for women in this industry LISTEN NOW

DIAMOND PODCAST FOR FINANCIAL ADVISORS

An Attorney's Advice on Buying, Selling or Transitioning Your Business

Louis Diamond


	Attorney Corey Kupfer offers advice to all advisors, whether considering change or not, including perspectives on contractual obligations and potential landmines one might encounter in a move. LISTEN NOW

FOCUSED ON THE FUTURE PODCAST

TIFIN's Vinay Nair on AI and Embracing Reinvention

Suzanne Siracuse


	TIFIN's founder discusses the opportunities and challenges AI presents and the importance of adaptability for achieving success. LISTEN NOW

THE WEALTHSTACK PODCAST

Preparing for the Latest SEC Cybersecurity Rules

Shannon Rosic


	AdviserCyber's Michael Cocanower details what the pending regulations mean for RIAs. LISTEN NOW

CONNECT WITH US

EVENTS

Inside ETFs | RIA EDGE | WealthStack

RESOURCES

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COMMUNITY

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A Cautionary Tale for Advisors and Political Contributions

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