From Financial Planning
Added on March 2018 in Form an RIA
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Summary: The biggest change in my practice since I opened in 2013 is pricing. And it’s not just me – most new RIA owners have gone through at least one pricing iteration. But why is pricing (and service models) so hard to figure out?
From Nerd's Eye View
Added on March 2018 in Form an RIA
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Summary: One of the virtues of working in a broker-dealer or especially a wirehouse environment is that the firm makes a number of decisions for you as the advisor, greatly expediting the process of being able to quickly launch your business and focus on working with your clients. The bad news is that in at least some cases, it’s much less expensive to simply set up your own advisory firm instead – especially if your focus is on charging AUM or other financial planning fees, such that there’s no need to have a broker-dealer affiliation in the first place.
From WealthManagement.com
Added on March 2018 in Form an RIA
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Summary: [white paper] Go deeper than the headlines surrounding the Registered Investment Advisor (RIA) movement. Learn what’s really compelling top teams to break away and redefine the advisor industry.
From ThinkAdvisor
Added on March 2018 in Form an RIA
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Summary: The Securities and Exchange Commission’s exam division is targeting bad brokers to complement the crackdown being conducted by the securities regulator’s enforcement division, according to Pete Driscoll, director of the agency’s Office of Compliance Inspections and Examinations.
From Financial Planning
Added on February 2018 in Form an RIA
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Summary: The SEC is taking a hard look at how financial advisory firms are handling disclosures and investment recommendations as part of its policy framework for the fast-developing digital advice space.
