October 2022 – Page 2 – Equity Services, Inc

AssetMark Adds New Investment Strategies from BlackRock, Federated Hermes and Stone Ridge

From AssetMark: New Investment Strategies to Help Advisors Navigate Market VolatilityInvestors' emotions and short-term behaviors can get in the way of their long-term financial…

Beth KnoxOctober 11, 2022

Incentives

Have You Qualified for the ESI Elite Symposium Yet?

In 2022 ESI qualifiers enjoyed the beautiful Utah mountains in Park City. In 2023 we’ll head further west and enjoy the surf and sand…

Beth KnoxOctober 11, 2022

Product

Alternative Mutual Fund Lists Updated for Q3 2022

Approved and Prohibited Alternative Mutual FundsThe purchase of Alternative Mutual Funds that include inverse and leveraged strategies is not permitted. To assist with what…

Beth KnoxOctober 11, 2022

Operations Technology

Wealthscape Investor Mobile App Updates

In an ongoing effort to improve the Wealthscape Investor mobile app experience, Fidelity Investments is pleased to introduce the following enhancements that will be…

Beth KnoxOctober 11, 2022

Advisory Solutions Training

Recording Available for Illuminations End-of-Year Tax Management Strategies

Click here to view our recent webinar featuring ESI’s Dan Randall and Envestnet’s Ryan Darr on Tax Management Strategies with Illuminations. TC129027(1022)1

Beth KnoxOctober 4, 2022

Operations

Recharacterization and Return of Excess IRA Contribution Deadline

October 17, 2022 is the deadline to process recharacterizations of 2021 IRA contributions and to process return of excess IRA contributions made in 2021.…

Beth KnoxOctober 4, 2022

Advisory Solutions

Fixed Income Commentary

“Bond yields rose substantially in August as investors interpreted numerous comments from Fed officials as bearish. All tenors in the one-to-ten-year part of the…

Beth KnoxOctober 4, 2022

Best Practices

Tell Us What You Think About ESI AND Win A Smart Watch!

Feedback is key for us to learn where our strengths are, where there is room for improvement, and how best to move forward with…

Beth KnoxOctober 4, 2022

Compliance & Licensing

Prohibition on Use of Outside Email

The securities industry has recently seen some SEC enforcement cases which involved multi-million-dollar fines related to the failure of certain firms to capture all…

Beth KnoxOctober 4, 2022