From ThinkAdvisor
Added on November 2019 in Form an RIA
0 visitor like this article | Viewed 3206 times | 0 comment
Summary: When it comes to the potential liabilities associated with compliance failures, the numbers don’t lie.
From ThinkAdvisor
Added on November 2019 in Form an RIA
0 visitor like this article | Viewed 3184 times | 0 comment
Summary: Advisors, industry officials and compliance pros are hailing the Securities and Exchange Commission’s plan to modernize its outdated 50-year-old Advertising Rule as a game changer for the industry, with some arguing that the proposed changes are poised to put the advisory profession on equal footing with others.
From Advisor Perspectives
Added on October 2019 in Form an RIA
0 visitor like this article | Viewed 3208 times | 0 comment
From ThinkAdvisor
Added on October 2019 in Form an RIA
0 visitor like this article | Viewed 3205 times | 0 comment
Summary: I mention this because many advisory firms assemble their tech stack in a similar way — by adding one piece at a time instead of building a comprehensive plan of compatible software.
From Financial Planning
Added on October 2019 in Form an RIA
0 visitor like this article | Viewed 3206 times | 0 comment
Summary: I began my career as a financial advisor in my mid-20s shortly after the dot-com crash. My six-month, classroom-based training program was composed of some of the most talented, credentialed and ambitious people I’ve ever encountered. Yet after two years, only 10% of the class had brought in enough assets to hit their revenue targets.
