RIAs Have an Organic Growth Problem

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WM Morning Memo

SEPTEMBER 07, 2024

RIA News

New Ensemble Practice Study: ‘We Have a Growth Problem’

Advisory firms grew 5.7% last year, according to a new study by The Ensemble Practice. It’s a wakeup call for firms to make marketing a vital function.

REGULATION AND COMPLIANCE

FINRA Fines Raymond James $1.9M Over Client Complaint Reporting

According to the settlement letter, the brokerage regulator argued Raymond James didn’t properly check that personnel were filling out forms to ensure that written customer complaints were submitted to FINRA quarterly.

WHITE PAPER

Investor Sentiment in Volatile Markets

INDUSTRY

LPL Acquires $9B AUM The Investment Center

The Bedminster-based firm with about 240 advisors was introduced to LPL during the acquisition of Atria Wealth Solutions earlier this year.

Pradeep Jayaraman, former co-head of partnerships and business development at Focus Financial, hopes to build on Bluespring’s mergers and acquisitions strategy.

FASTCHAT VIDEO

Adding Value for the Next Generation of Wealth Management

REAL ESTATE

Anticipation for Rate Cuts, Strong Q2 Performance Fuel a REIT Rally

After a sluggish first six months of 2023, publicly-traded REIT total returns are up more than 10% in the third quarter and by double-digits year-to-date.

RPA

How Convergence Is Changing the RPA, RIA M&A Markets

It’s not a fad.

TECHNOLOGY

NewRetirement Rebrands As Boldin

Once only a direct-to-consumer play, Boldin is working with independent RIAs and enterprise customers.

HIGH NET WORTH

Is Tax Legislation Still Possible this Year?

Action on pending bills will likely be postponed until after the election.

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