MAY 20, 2022

REGULATION AND COMPLIANCE

SEC Fines Wells Fargo Advisors $7M For Anti-Money Laundering Lapses

Patrick Donachie

SEC Enforcement Division Director Gurbir S. Grewal said the enforcement action indicated that “AML obligations are sacrosanct” for registrants.

FULL ARTICLE

RIA NEWS

Goldman Sachs’ Eugene DeRango Joins Axos Advisor Services

Ali Hibbs

Eugene DeRango leaves Goldman Sachs after little more than a year to lead sales and client acquisition efforts at Axos.

FULL ARTICLE

Sponsored by Franklin Templeton

A deep dive into the priorities of American workers, and implications for employers.

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TECHNOLOGY

WealthStack Roundup: Black Diamond, Hightower, iCapital, Smart Kx

Davis Janowski

Black Diamond hits a milestone, Hightower partners with TIFIN's Clout, iCapital receives patents and Smart Kx gets funding.

FULL ARTICLE

EQUITIES

S&P 500 Sinks Into Bear Market Amid Brutal Equities Selloff

Eric J. Weiner

The drop is part of a seven-week slide in the broad measure that qualifies as the longest since the dot-com bubble was bursting in 2001.

FULL ARTICLE

THOUGHT LEADERSHIP SPOTLIGHT

ESG: Sustainable Investment Options

Podcasts

RIA EDGE PODCAST

Sanctuary Wealth’s Jim Dickson on Balancing M&A and Organic Growth

Mark Bruno

The founder and CEO of Sanctuary Wealth explains how RIAs can strategically approach mergers, acquisition, recruiting and sustainable organic growth.

Sponsored by Schwab Advisor Services

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MINDY DIAMOND ON INDEPENDENCE

A Former FiNet Advisor’s Journey to Building a $1.7B Fully Independent Firm

Mindy Diamond and Louis Diamond

The call for greater independence became the motivation for Steve Dimitriou to leave FiNet in 2020 and launch his own RIA firm, Mayflower Advisors, which today manages over $1.7B.

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Podcasts