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Articles by Dan Shaw
Why Morgan Stanley is turning advisors loose to build their own AI agents
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Lead, Survive, and Thrive: Developing Fire Service Leaders
Change is a constant in the fire service, often met with resistance despite its necessity for adapting to community demands. Effective communication is crucial during change, requiring transparency about reasons, impacts, and expected outcomes. Training and support are essential for developing new skills and behaviors needed to navigate change successfully. Leaders in the fire service must evolve with change, creating a motivated team with a common purpose to achieve successful outcomes.
Martha Had Her Hamptons House for 30 Years—Take a Look Inside Lily Pond Lane
Credit: Noe Dewitt More than 30 years ago, Martha's daughter, Alexis, encouraged her mother, newly single after 29 years of marriage, to spend weekends in the Hamptons, the string of venerable beach towns on the eastern end of Long Island. "She said, 'Mom, it's the place to come for a social life,'" recalls Martha, who dipped her toe in as a regular guest at the Sagaponack home of her friends writer Kurt Vonnegut and his wife, photographer Jill Krementz.
CFPs Earn 11% More Than Other Financial Planners: Compensation Study
Financial Planning CFP® certification holders continue to out-earn their peers, with advisors earning about 11% more on average than non-certified planners. CFP Board’s 2026 Compensation Study also found their compensation rose 15% year over year, driven by experience and leadership roles, highlighting the strong value employers and clients place on their expertise. Financial Planning Dan Shaw June 5, 2026
Morgan Stanley hit with lawsuit over website tracking
Lawsuits are stacking up against wealth management firms for allegedly allowing their websites to be equipped by third parties like Google and Microsoft with tracking software used to target visitors with ads. In the latest suit, filed Thursday in...
With no ownership prospects, bank advisors leave to form RIA
Adam Cox's decision to leave his job as the wealth management head of a regional bank to start an RIA didn't come in response only to the new career prospects now open to independent advisors. It was also owing to the lack of opportunities Cox saw for...
$1.25B AUM ex-First Republic team exits JPMorgan, joins Janney
Nearly three years after acquiring First Republic Bank, JPMorgan is still seeing advisors from that former private wealth powerhouse slip away to rival firms. The Apollo Group — a prominent six-person team First Republic previously recruited from...
Edward Jones revives bank plans in bid to boost services - and revenue
Nearly three years after abandoning an attempt to start a state-chartered bank, Edward Jones is back at it again with a new proposal. The St. Louis-based firm says its goal in seeking to set up Edward Jones Bank is to be able to offer products like...
News You Should Know: The Top Five Compliance Articles as of February 14
Welcome to our biweekly recap, where we curate the top compliance news and insights from various industry publications. We have selected the most relevant and important updates related to regulatory compliance, industry news, and critical updates. Today’s recap focuses on the DOL Fiduciary Rule, the SEC’s new approach to crypto, FINRA’s AI warning, and the FCA’s actions against misleading advertisements.
News You Should Know: The Top Five Compliance Articles as of January 17
Welcome to our biweekly recap, where we curate the top compliance news and insights from various industry publications. We have selected the most relevant and important updates related to regulatory compliance, industry news, and critical updates. Today’s recap focuses on the release of Fund Name Rule FAQs, another round of fines for record-keeping failures, legal cases facing the regulators, and the impact of the 119th Congress on crypto regulations.
Wells Fargo sued - again - over sweeps rates
Wells Fargo is being hauled into court again over allegations it wasn't paying clients enough on their uninvested cash held in advisory and brokerage accounts. A putative class action lawsuit filed on Tuesday in federal court in San Francisco is the...
SEC's latest WhatsApp probe nets $393M from LPL, RayJay and more
The SEC has trained its regulatory eye on an RIA in its latest case alleging misuses of "off-channel communciations." Credit: Aleksei - stock.adobe.com The long arm of the SEC stretched deeper into the independent advisory and brokerage industries this week with more than $390 million in fines against 26 firms for violations related to "off channel" communications.
SEC's latest WhatsApp probe nets $393M from LPL, RayJay and more
The long arm of the SEC stretched deeper into the independent advisory and brokerage industries this week with more than $390 million in fines against 26 firms for violations related to "off channel" communications.
$535M team returns to LPL after trying Well Fargo's indie channel
The founders of Harbor Lights Financial Group are (from left to right) Doug Lockwood, Ken Roberts and Rob Tendler. Credit: Photo courtesy of LPL Financial After eight years at Wells Fargo's independent channel, a 12-person advisory team managing more than $500 million is returning to LPL Financial.
Regulatory scrutiny of 'cash sweeps' extends to Morgan Stanley
Signage for Morgan Stanley atop a building in Beijing, China, on Wednesday, July 19, 2023. Morgan Stanley is shifting more than 200 technology developers out of mainland China after the country tightened access to troves of data stored onshore, according to people familiar with the matter.
Regulatory scrutiny of 'cash sweeps' extends to Morgan Stanley
Regulatory pressure rose further on firms' handling of clients' uninvested cash with Morgan Stanley disclosing it is responding to SEC inquiries into its sweeps policies . Morgan Stanley is among a handful of firms being sued in federal court over...
Following Wells, Morgan Stanley plans changes to sweeps policies
Credit: Tada Images - stock.adobe.com Amid lawsuits and regulatory scrutiny over the low returns firms sometimes offer on uninvested cash, Morgan Stanley became the latest Wall Street giants to announce changes to its "cash sweeps" policies.
Citi's wealth ambitions take shape with new hires, promotions
Morgan Stanley isn't the only firm that sees a way to gain possibly trillions more in AUM via workplace clients. Its Wall Street rival Citi is looking in much the same direction. In announcing a new head of Citi's Wealth at Work division, wealth head...
With $10M payday, Wells rewards wealth management head
If Barry Sommers' compensation package is any sign, his bosses at Wells Fargo are plenty happy with the work he's doing to reshape the firm's once-staggering wealth management unit. A proxy statement filed on Tuesday by the bank's board of directors...
'Honeypot' suit against Morgan Stanley alleges behavior Wall Street has tried to leave behind
If the allegations in a new discrimination lawsuit against Morgan Stanley are true, Wall Street still has a long way to go toward eliminating the sort of behavior it has been trying to clean up for decades.
Morgan Stanley hopes E-Trade Super Bowl commercial will top off wealth management funnel
Morgan Stanley's wealth management business is often likened to a funnel . Now the wealth management giant is betting that a 30-second Super Bowl ad will give it perhaps its best chance ever to pour in some new clients. The contest on Sunday between...
New Wells recruiting head hangs hat on offering advisors choice
Brendan Krebs is the newly appointed head of recruitment at Wells Fargo. Credit: Courtesy of Wells Fargo With most large wealth managers already offering generous sign-on deals to advisory teams who come over from rivals, firms are having to find other ways to win the recruitment game. Brendan Krebs, the recently appointed head of advisor recruiting at Wells Fargo, thinks the key to success is to ensure newcomers have a great deal of latitude to run their businesses as they see fit.
Goldman Sachs' new retirement head focusing on savings puzzle
Throughout many recent starts and stops in its wealth management ambitions, Goldman Sachs has kept its hand in the business of helping workers save and plan for retirement. The Wall Street behemoth again signaled its interest in that work with its...
Morgan Stanley reorganizes wealth unit in bid to deepen client relationships
Big wealth managers know that one of the best ways to hold on to advisory teams and assets under management is to make sure they have multiple business relationships with clients. A customer who has just a brokerage account with a firm can far more...
LPL's $6M fine may be 'cost of doing business' or a Reg BI warning
FINRA levied more than $6 million in fines and investor reimbursement against LPL Financial for violations of its duty to supervise and record transactions its representatives were carrying out on clients' behalf. That total includes a $5.5 million fine and more than $650,000 in investor reimbursement charges. In agreeing to the penalty amounts on Dec. 27, LPL neither admitted to nor denied the allegations.
On the Bus with Bill Monroe: My Five-Year Ride with the Father of Bluegrass - Bluegrass Unlimited
Touring with Bill Monroe was notoriously difficult. Still, with Monroe’s foundational place in the history of bluegrass, it was a rite of passage that many musicians were not only willing but eager to endure. Monroe’s death in 1996 has of course shut the door to any future opportunities to tour with the “Father of Bluegrass.” Mark Hembree’s new book is about the closest any of us can now come.
Take a Virtual Tour of the Grounds at Wethersfield, a Historic New York Estate—and Plan a Visit Come Spring
Chauncey Devereux Stillman was not your garden-variety gentleman farmer.
This Brown-and-White Transferware Collection Will Take You Back to the 19th Century
"Beauty is the only thing that time cannot harm," said Oscar Wilde, the Irish author, dandy, razor wit, and leader of the Aesthetic Movement in Britain (1860–1900). The period was a direct reaction to the utilitarian style of the industrial age, and an unabashed celebration of art for art's sake. If you've ever gazed in rapture at a James Abbott McNeill Whistler painting or a swath of William Morris wallpaper, you've experienced it firsthand. Another transporting example is transferware ceramics.
See How Kevin Sharkey Decorates His New York City Apartment—Using Metallics and Subtle Shimmer—for Christmas
Every year, Kevin Sharkey devotes pretty much an entire December weekend to decorating the 14-foot tree that grazes the ceiling of his sleek New York City apartment overlooking the Hudson River. "You'd think it would take longer because the tree is so tall, but it actually goes by pretty quickly," he says. Moreover, he enjoys every minute of it, and his efforts are fueled by the excitement of good times—and good friends—to come. There's a thoughtful method to his yuletide madness, too.
Step Inside a New Jersey Antiques Shop Full of Ephemera Spanning Three Centuries
Larry Becker and Roger Crowley are educators as much as antiquarians. At Welbourne Robinson, the elegant little shop they opened last fall in an 1870s Colonial Vernacular house in Hopewell, New Jersey, they often bring out illustrated books on history, art, and style to provide customers with context for their 18th-, 19th-, and 20th-century European and American antiques.
After 30 Years, Martha Has Sold Her Hamptons House—Take a Look Inside the Residence She Purchased in the '90s
More than 30 years ago, Martha's daughter, Alexis, encouraged her mother, newly single after 29 years of marriage, to spend weekends in the Hamptons, the string of venerable beach towns on the eastern end of Long Island. "She said, 'Mom, it's the place to come for a social life,'" recalls Martha, who dipped her toe in as a regular guest at the Sagaponack home of her friends writer Kurt Vonnegut and his wife, photographer Jill Krementz.
The Great Update: This Revamped Farmhouse Was Inspired by 1800s New England and 20th-Century Scandinavia
When planning the renovation of her family's Garrison, New York, farmhouse six years ago, Annie Mennes channeled two very different places and times: 1800s New England and 20th-century Scandinavia. "I like traditional style when it's clean, crisp, and articulated; and on the modern side, I don't like rooms to be too spare," says the architect, who has worked for firms such as Roman and Williams in New York City and now runs her own studio, Garrison Foundry.
This Stunning Shingled Beach House in the Hamptons Features Modern-Meets-Victorian Interiors
This article originally appeared in the June 2014 issue of Architectural Digest. Referring to shingled beach houses as cottages is an American tradition that often seems as affected as it is inaccurate, given the extravagant scale of many such residences found in East Coast summer enclaves. Yet the term is decidedly apt for a Shingle Style retreat that Gary Brewer of Robert A.M. Stern Architects designed in East Quogue, New York, for Manhattan-based clients.
The Psychology of Spending
A well-dressed woman walking purposefully down the street suddenly stops in her tracks in front of a store window. She disappears into the store and, minutes later, reemerges carrying a large shopping bag. Another woman walks by an equally enticing display without even glancing in its direction―possibly because she's too busy calculating the current worth of her 401(k). You might call the first woman self-indulgent, a spendthrift, or an impulse buyer.
This Couple Lives in Their Mid-Century RV While They Mold Their Dream Home in the Desert from Clay
The gleaming aluminum mobile homes built by the Spartan Aircraft Company beginning in the 1940s did not exactly live up to their manufacturer's name—they weren't spartan at all. They were luxury RVs, advertised as "spacious, gracious, functional," and the vintage model that Kelly Brown and Bryce Ehrecke have refurbished and parked in the California High Desert fits that description to a T.
Romancing the Stone: Go Inside This Restored, Preserved Farmhouse in Pennsylvania
Kristal Hill is one of those people who flicks through real-estate websites for fun. One fall evening back in 2012, just as she and her husband, Dan Daughenbaugh, were finishing a gut renovation of an old farmhouse in the leafy Mount Airy neighborhood of Philadelphia, she stopped cold on a listing for a turn-of-the-century stone cottage in the nearby Brandywine Valley.
Dan Shaw: Celebrating an adventurous spirit
"I've been spending more time than usual on the phone with my brothers and sisters. Because of the Coronavirus restrictions, we're postponing our family memorial service," Dan Shaw says in a guest column. It has been several weeks since my mother’s death, and everything I do brings back a memory. Some come with a tear, some with a chuckle. I’ve been spending more time than usual on the phone with my brothers and sisters.
The Sweet Escape: This Circa-1911 Cottage on Fire Island Was Restored with Its Rustic Heritage in Mind
There are few places as carefree as the Village of Saltaire on Fire Island, a sliver of sandy, forested land off the southern shore of Long Island, New York. Cars are forbidden, the "streets" are narrow wooden boardwalks, and residents bike or walk barefoot to the bay and ocean beaches, often pulling their belongings behind them in red wagons.
WheelChair Accessible Tours Blog
Select a category: Featured post Meet Our Tour Managers Introducing our lovely tour managers. There to support you at all stages of your holiday, so you can relax and soak in the sights. Meet Ann Marie, Dave and Denise. How Travelling Can Boost Confidence Have you ever wanted to be more confident? Well you’re in luck, Confidence can be built and strengthened until it becomes natural, just as any other habit. But that’s easier said than done right?
Dan Shaw: A mother for the ages
By DAN SHAW For the News-Register As I write this, it has been 11 days since my mother’s death in McMinnville, and I’m finally able to sit down and think about her with my fingers on a keyboard. It’s not that I haven’t been thinking about her. It seems that everything I do brings back a memory. Some come with a tear, some with a chuckle. I’ve spent some time on the phone with my brothers and sister.
An Earthy, Comfortable Home on the Shores of the Florida Panhandle
The one-hundred-mile stretch of the Florida Panhandle between Panama City and Pensacola might not have the cachet of Malibu or the Hamptons, but it may have the finest beaches in the United States, with sand as soft and white as sugar, and features statuesque homes to match.
Breathing new life into old technology: a conversation with Remute
Few embrace the limitations of technology like German producer Remute. Transitioning from the well-trodden path of the modern DAW to the floppy disk and cartridge, he epitomises the fulfilment that’s within reach when you follow your inspiration. On his latest release, Technoptimistic, Remute fully embraced the spatial limitations of the Sega Mega Drive cartridge, finding a new way of creating art along the way. The result is a techno album and visual aesthetic like no other.
Immersion in a world of your own: the evolution of gaming audio
When we look back into the primordial beginnings of video games, the archetypal 8 bit sounds of arcade machines and the early consoles immediately spring to mind. There could have been a time in the recent past when these sounds were viewed as limited, even naff. Nowadays, most people rightly recognise the genius of these early sound designs and composers: how could they create a world so engaging with such a limited set of tools?
A Dream About Lightning Bugs: lessons in life from the pen of Ben Folds
Pop culture is sufficiently saturated with the rags to riches tales of rock stars, so we can be forgiven for thinking that the progression is formulaic. A pained childhood, a night of destiny, drugs, more drugs, the end. The life story of Ben Folds, however, steers away from this hackneyed fare. An obsessive musician and wry comedian, Folds set himself apart at an early age but never lost his observant eye. In fact, with maturity, it only grew sharper.
The Most Perfectly Designed Cape Cod Vacation Home
Skip to content When designer and photographer Jaimie Baird talks about her family beach home in the town of Osterville, Massachusetts, on Cape Cod, the word family doesn't just refer to her husband, Chip, and their children, Loch, 12; Blake, 10; and Olive, 8. It also encompasses grandparents, siblings, aunts, uncles, cousins, and close friends with kids of their own.
Bare & Real captures every angle of punk rock's most vital force
By the time the late ’70s came around, a young Paul McAlpine was already fed up. He was a wunderkind rock photographer that had captured the pictorial glamour of David Bowie, The Rolling Stones, Queen, Alice Cooper and more. Peaking early, he was jaded and at a loose end. So, when you’ve covered the most lavish productions that were touring in the era, where do you go for new inspiration?
the Graphic Account of History's Greatest Chemical Adventure
Albert Hofmann was an ambitious young man. Each day he set off on his bicycle to ply his trade at Sandoz Pharmaceuticals in Basel, in the shadow of the Swiss alps. His expertise lay in synthesising chemical compounds for medicinal purposes. On a fateful day in 1938 (under pressure from his boss who was focussed on commercial imperatives) Hofmann was tasked with creating a new fusion which blended alkaloids of ergot, lysergic acid and diethylamide. LSD was born.
Breathing New Life into Old Technology: A Conversation with Remute
Few embrace the limitations of technology like German producer Remute. Transitioning from the well-trodden path of the modern DAW to the floppy disk and cartridge, he epitomises the fulfilment that’s within reach when you follow your inspiration. On his latest release, Technoptimistic, he fully embraced the spatial limitations of the Sega Mega Drive cartridge, finding a new way of creating art along the way. The result is a techno album and visual aesthetic like no other.
This Colorful Vacation Home Is Bursting with Cowboy Spirit
One wildly creative couple built the ultimate family retreat: a Mexican ranch house filled with personal style, their own designs, and the work of local artisans. Photography: Eric Piasecki 1 of 10 When Jorge Almada is at his home on a remote 12,000-acre ranch in northern Mexico's Sonoran Desert, he lassos visiting family and friends for a horseback-riding expedition at high noon. They traverse ragged, khaki-colored hills and valleys for an hour or two, never passing another soul.
Bunny Williams and a Top Tier Design Team Breathe Elegance into a Southampton Estate
Mary Ann Tighe will gladly tell you that she wasn’t to the manner born. “I’m a girl from the Bronx,” says the powerhouse New York commercial real-estate broker, who recently built a country manor dubbed Hollyhock with her husband, Dr. David Hidalgo, on four acres near the ocean in Southampton, New York.
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