Going forward, any marketing materials reviewed by Compliance will no longer be assigned an AW#. All new submissions will instead receive a six-digit approval number. This does not affect previously approved materials or updates made to previously approved materials. If you have any questions, please email adreview@ae-wm.com or call 866.363.9595 and request to speak to…

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Big News From AEWM Congratulations to our advisor partners. With your help, AE Wealth Management reached $4 billion in total assets on the platform on June 12, allowing us to be named one of the biggest RIA gainers of 2018 by Investment News. Thank you for your continued trust in us! Read the press release…

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Money Movement Enhancements Fidelity has updated its policy regarding creating first-party standing instructions. They have also updated their Standing Payment Instructions Form to incorporate the changes. Important changes to note include: To set up EFT instructions, a voided check, statement or deposit slip with all account owners’ names will be required. Any third-party standing instructions…

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In today’s episode of BACH TALK, I’ll share with you the biggest and best report I’ve ever read on this topic, selections from my own writing backed by hard data that you can easily share with your clients, and how to best make your case. Next up, in Part 2, I’ll teach you about the…

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As you may know, our partners at Copperleaf Capital have documented their easy-to-implement sales process in a series of videos. Ryan Heath will walk you through their 1st, 2nd and 3rd client appointments, and show you how to use these skills with your own clients. These videos are now available to you on the AE…

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FDIC Announcement As a reminder, we have implemented a change to the default core account for clients’ cash at Fidelity. The new default will be the Fidelity Bank Deposit Cash Sweep Program option. The core transaction account is used by Fidelity for processing cash transactions and for holding uninvested cash related to the account. Fidelity…

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On May 17, 2018, the AEWM Compliance Team updated our Social Media Policy. This is especially important if you use any sort of social media for communication or advertising. Please review these changes to ensure that you are complying with SEC and AEWM rules regarding social media. CLICK HERE for the update.  

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Orion has released the first of its software enhancements for the year. There were extensive updates done to the system. HIGHLIGHTS Enhanced bill pay feature for financial planning and more Collecting financial planning fees from custodial accounts Securing financial planning fee payments in the Client Portal Launching our new Compass tool: Supervise Launching iRetire by BlackRock…

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Fidelity EFT Standing Instructions Purge This is a reminder that the EFT standing payment instruction purge executes quarterly on the 2nd Saturday of the month in February, May, August and November.  The next purge is on May 12, 2018.   Why is Fidelity doing this? There are two primary reasons driving this decision: Operational Risk:…

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