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May 15, 2019
Why Social Security Concerns Could Drive Clients Away from their Advisors
New research suggests Social Security is one of the most important issues for most clients.
New Tax Shelter Investment Has No Shortage of Takers
But advisors still warn of significant unseen risks.
Why HighTower Has Pulled Out of the Broker Protocol
The industry accord is no longer relevant for the firm’s business model, the company’s chief tells media.
Fired UBS Top Producer Registers with Indie B-D
Craig Findley has registered Findley Advisors as an affiliate of PKS Advisory Services.
Why Private Equity Shops and Hedge Funds are Boosting their Wealth Management Hires
Alternative asset managers are increasingly interested in getting into the private wealth market.
VideoCalamos Wealth Management Expands
Advisors Shouldn’t Wait for Industry-Wide Cybersecurity Tests
Sifma will conduct a cybersecurity breach simulation this fall, but advice practices can take inexpensive measures to boost their security.
How FAs Can Heed SEC’s Warning on Compliance Spending
Experts agree that advice practices need to be able to demonstrate their active and ongoing commitment to compliance.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|