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Pandemic Didn’t Stop SEC From Examining 15% Of RIAs
During the 2020 fiscal year, the SEC Office of Compliance Inspections and Examinations (OCIE) conducted more than 2,950 examinations.
How LA Wealth Managers Are Handling the Wealthiest’s Portfolios During the Pandemic
While the pandemic’s impact has been devastating for some Angelenos, most of LA’s well-heeled have been insulated from the financial fallout.
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Volatility blunders and the runaway advisor
The number of travel agents has been cut in half over the past two decades, while the financial advice industry is booming.
Stanhope and FWM Merge to Create $24 Billion Wealth Manager
Stanhope Capital and FWM Holdings plan to merge and create a wealth management firm with $24.2 billion in assets.
Defined Contribution Advisors Working Overtime As New Business Remains On Hold
COVID-19 has prevented Defined Contribution Advisors from finding new business, as they are working overtime to guide clients through the pandemic.
Biden’s daunting challenge on jobs
Like most incoming presidents, Joe Biden promised to do more for struggling workers and families falling behind.