More about InVest: As new digital tools transform wealth management, the industry’s largest players are rushing to adapt to ever-increasing customer expectations, while smaller firms strive to keep pace. Behind the scenes, many are investing more on technology and hiring to drive growth, but margins remain under pressure. In|Vest West is exploring all the dynamics at play — from front to back office — and the technologies that are shaping the future of the firm.
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Here's what you missed this week in wealth management.
November 5
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The Swiss lender is also simplifying its structure into four divisions, including a single unit that groups together its advisory businesses.
November 5
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The RIA aggregator has closed or announced more than 30 transactions in 2021, and Rudy Adolf’s team sees the greatest opportunity among its traditional M&A targets.
November 5
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A litany of challenges has kept thousands from accessing the promised forgiveness: New rules, deadlines, eligibility.
November 4
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Wealth managers operating as broker-dealers are still offering the same “complex, costly and risky” products without enough disclosure, NASAA’s report found.
November 4
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Ryan Frailich is the CFP, founder of
Deliberate Finances , a fee-only financial planning practice that specializes in working with couples in their 30’s, as well as educators and nonprofit workers.Prior to becoming a planner, Ryan was a teacher himself and then worked to grow a charter school organization as the Director of Talent & Human Resources. Given their age and occupations, student loans are a priority for the majority of his clients, so he’s spent many hours trying to find the right ways to provide clients with information about their student loan options. You can find him on
Twitter , email him atryan@deliberatefinances.com , or at basically any New Orleans festival featuring delicious food and drinks.November 4 -
Securities and Exchange Commission Chair Gary Gensler warned the financial industry that he won’t shy away from going after big firms pushing the limits in areas that are priorities for the agency, including crypto trading, cyber fraud and SPACs.
November 4
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Investors might want to prepare for an extended bout of inflation, whether it comes or not.
November 4
Ares Management Corporation -
The service lifted the limit from $19,500 as part of its annual inflation adjustments.
November 4
