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Mindy Diamond on Independence: Why a 25-Year Merrill Vet Managing $450M Opted to Break Away
May 12, 2022
On his 25th anniversary with Merrill Lynch, Craig Robson resigned to launch RIA Regent Peak Wealth in Atlanta. It was a bold move designed to “liberate and empower” him and his team to serve their clients completely and with objectivity. Craig...
finra
PIABA Pushes FINRA For Stronger Complex Product Regs
May 11, 2022
Asset managers and many advisors are waving red flags around FINRA's proposal to craft new rules for "complex products," which could make it harder to invest in leveraged funds. But one group representing investors has a different take.
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SEC Examining Complex ETF Products Popular in Market Downturns
May 11, 2022
Retail investors and private funds alike have flocked leveraged and inverse funds amid market turmoil.
The Healthy Advisor Podcast with Diana Britton
The Healthy Advisor: Finding Healing in the Gym With Jess Bost
May 11, 2022
Advisor Jess Bost opens up about how her experience with intense workouts and a supportive community gave her the outlet she needed during a time of profound grief.
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Advisor Innovations: Brian Portnoy on Helping Clients Rethink Wealth
May 10, 2022
The founder of Shaping Wealth explains why the true definition of wealth should be 'funded contentment,' or the ability to live a life of purpose and meaning.
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How to Get Referrals Without Asking
May 10, 2022
Penny Phillips, co-founder and president of Journey Strategic Wealth, recommends advisors take a more strategic, intentional approach to leveraging clients for new business.
FINRA
FINRA Projects 2022 Drop in Revenue
May 10, 2022
The decline in the regulatory authority’s operating revenues is expected to be offset by previously announced fee increases on member firms.
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