Wealth Management
 
WealthManagment.com Daily Memo
Wealth Management Daily Memo

MARCH 07, 2025

REGULATION & COMPLIANCE

SEC Considers Additional Ad Rule Guidance for Advisors

According to SEC staff at the Investment Adviser Association’s compliance conference, the two planned FAQs would help clarify when advisors must use net and gross performance to describe investments.

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INDUSTRY NEWS

Deals & Moves: EP Wealth, F.L.Putnam Continue Acquisition Sprees

In addition, Cetera adds an advisor who also performs industry education and training, and Ameriprise and LPL announce more additions.

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FASTCHAT VIDEO
Unlock Specialized Client Services with the Private Bank
Discover how high-net-worth clients can have a “full array of options” for investing and banking capabilities at Wells Fargo.
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PODCAST

Adjusted for Risk: Women in Investing

In honor of International Women’s Day, Ryan Nauman talks with women leaders in the investment management space.

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EQUITIES

Have We Reached Peak Uncertainty?

Even in strong years, stock markets tend to experience declines in the 5% to 10% range.

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SPONSORED CONTENT
How to Balance Scale and Culture
Jeff Vivacqua shares how his team maintains culture at scale.
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MARKETING

The Emoji Challenge: Decoding Digital Intent

A growing compliance risk that most firms aren’t equipped to handle.

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