Pick The Winning Investments Carefully

Larry Roth, CEO, Wealth Solutions Report

Real Estate Goes South, The Latest In Weekly Recruitment News, The Launch Of A Private Equity-Funded RIA, An Income-Focused ETF Outperforms And Tracking Data For Family Offices

To My Fellow WSR Community Members:

In the ’90s, when the major stock market indices were booming, a friend told me that his broker hadn’t sent him a 1099 on his investments in small-cap stocks. Diligent to report his earnings to the IRS properly, he called the broker and asked if the 1099 went missing. The broker replied, “You didn’t receive a 1099 because your investments made no money.” 

It was possible to make the wrong investment in the ’90s, and it’s much more likely today. We can’t rely on rising markets. Instead, we must select winners carefully across all types of investments, including real estate, where we hear this week from an expert on the trends that support specific regions and property types, as well as ETFs, where we cover an equity income-focused strategy that proved itself successful.  

We also bring you the latest in recruitment news, the benefits of tagging and tracking data for family offices and the launch of a new RIA poised to make multiple acquisitions with private equity backing.

This Week’s Issue

Here’s what we have on tap for you this week: 

  • Will the advisor exodus from troubled banks ever end? In the Newsmakers & Roundups section, our latest edition of Weekly Recruitments covers Cerity Partners recruiting eight advisors from Silicon Valley Bank, Moneta Group Investment Advisors adding a Denver team, Mercer acquiring Andesa Financial Management, LPL gaining over $1 billion through three recruitments in same week and EP Wealth Advisors acquiring Lehman & DeRafelo Financial Resources.
Ground-up, multifamily
  • What’s on the sunny side of real estate trends? In Investment Solutions & Gatekeepers, Bernie Wasserman, President of Participant Capital Advisors, explains how current real estate trends point to investments in ground-up, multifamily properties in certain areas of the Sun Belt, especially Texas and Florida. He also explains investment vehicles, strategies and other factors advisors should consider when clients invest in real estate.
  • How can tagging and tracking data improve family offices? In the Digital Domain, Nicole Eberhardt, CEO of Ledgex, describes how leveraging technological advancements to tag and track direct investment data can save time and enhance decision-making and reporting for family offices. 

In case you missed it, last week in Newsmakers & Roundups, we brought you an RIA launch and the latest on ETFs:

A winning strategy
  • How does an income-centric strategy stack up against large-cap value ETFs? Founded by David J. Scranton, Sound Income Strategies’ DIVY ETF placed in the top 4% of Morningstar’s large-cap value rankings for year-end 2022, based on total returns. DIVY emphasizes income generation, following the firm’s income-focused investing approach across its range of services.
  • Modern Wealth Management, founded by three former Goldman Sachs and United Capital executives – Gary Roth, Mike Capelle and Jason Gordo – announced its launch with $200 million in private equity backing from Crestview Partners. The new RIA plans to acquire other RIAs and provide holistic services to clients by supporting advisors with teams of specialists and needs-matching lead generation services.

Send us your ideas, comments and questions for experts!

Find us on LinkedIn, where you can share our articles with your friends and colleagues, or share by email.

Have a great week!


Larry Roth, CEO

Wealth Solutions Report

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