Added on February 2016 in Form an RIA
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Summary: A move by the Securities and Exchange Commission to beef up oversight of registered investment advisers probably will not stop the agency's effort to establish third-party examiners as well
Added on January 2016 in Form an RIA
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Summary: The inherent beauty of the investment management profession is its applicability to all people. Investing requires a global perspective, and it transcends cultural, social, and economic boundaries.
Added on January 2016 in Form an RIA
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Summary: It’s not easy being one of the largest RIAs in the country, even with RIA AUM growth outpacing that of wirehouses. Finding the right talent in a small pool of the most qualified advisors is tough — especially when you can’t dangle a name brand like Credit Suisse or J.P. Morgan before them.
Added on January 2016 in Form an RIA
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Summary: Before becoming managing partners of Atlanta-based Compass Wealth Management, Robert Amato and Beau Davis knew that no matter how high they climbed in the broker-dealer model, they’d still be working for someone else. They chose another path. They chose to build something all their own by forming an RIA.
Added on January 2016 in Form an RIA
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Summary: Securities regulators often use enforcement cases to highlight areas of the law they want financial professionals to be extra vigilant about avoiding. Here are seven compliance messages that rang loud and clear in 2015 and will likely be heard throughout the new year.
