Big and Little Risks Everywhere

To our fellow WSR community members:

We’re thrilled to publish our fourth weekly issue, wrapping up our first full month since the launch of Wealth Solutions Report (WSR)!  It’s been an exciting journey together with you.

Equally important, April is Diversity Month, and we were pleased to be able to spotlight a solid cross-section of gender, age and cultural diversity across much of our content.  Please stay tuned for May, when we’ll celebrate Asian Pacific American Heritage Month!

This week is WSR’s “Big And Little Risks” issue, with original and exclusive content on continued and emerging risks that should be top of mind for firms and their financial advisors as we move into the second half of the year.  Here’s what we have to offer:

  • Inaugural Beltway & Beyond Section:  Independent Financial Advisors Under Threat.  The PRO Act, currently under consideration by the U.S. Senate, could result in many independent financial advisors being reclassified as employees, while proposed changes to the Fair Labor Standards Act would do the same. Dale Brown, CEO of the Financial Services Institute (FSI), makes a strong case for why firms and advisors should push back.
  • Statshot:  Most Frequent FINRA Arbitration Claims.  Forewarned is forearmed!  Our resident compliance supervision columnist, Sander Ressler of Essential Edge, provides a rather vivid infographic on the most frequent arbitration claims that financial advisors can expect in the coming months. 
  • CyberCrypt Tales with Sid Yenamandra.  Our inaugural section on the most problematic cybersecurity issues for wealth management firms and their professionals and how to address them, featuring the CEO & Founder of Entreda, the leader in cybersecurity solutions for independent broker-dealers, RIAs and their affiliated advisors.  The original Cryptmaster with “Tales From The Crypt” was scarier than Sid, but the cybersecurity dilemmas that Sid addresses should be frightening enough to anybody.  Cybersecurity Problems
    Can Be Very Scary
  • Noteworthy Notes:  Stop Dismissing Inflation Risks!  According to the CPI, inflation isn’t that great of a risk.  But how accurate is the CPI as a gauge of inflation?  And how can we better measure and hedge against inflation risk?  Andrew Parker of Horizon Kinetics shares timely and unique thoughts in this regard.
Cybersecurity Problems
Can Be Very Scary

One last note: We couldn’t be more pleased with the reception we’ve gotten from our community of readers and viewers, which seems to be growing by the day. We look forward to continuing to deliver thoughtful content with actionable insights to you, and we thank you for your support!



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