From IRIS
Added on October 2016 in Form an RIA
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Summary: The Broker Disclosure Rule and DOL Fiduciary Rule – coming this November and next April respectively – are perceived by many as game changers in the financial advisory space. Much has been written about the specifics and impact of each, so I won’t repeat them here (see our prior blog posts: The New Golden Rule for Advisors on the Move and In the Eye of the DOL Storm).
From Financial Planning
Added on October 2016 in Form an RIA
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Summary: The SEC brought a record number of enforcement actions over the past year, setting all-time highs for cases brought against investment advisers and investment companies, the agency announced this week.
From fi360
Added on October 2016 in Form an RIA
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Summary: The biggest stumbling block for registered investment advisors when it comes to guarding against cybersecurity breaches is not technology-based, it’s a people problem. The right technology is critical, but RIA leaders face a bigger challenge in fostering a cybersecurity-sensitive culture in a way that resonates throughout all levels of their firms and is much more than a simple policy handout.
From On Wall Street
Added on October 2016 in Form an RIA
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Summary: Launching an RIA can seem like a daunting task for some advisers. It’s not really just a single major business decision but a barrage of choices that are each equally important in creating a successful enterprise. It can overwhelm the underprepared.
From InvestmentNews
Added on October 2016 in Form an RIA
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Summary: I left a great wealth management firm to start my own RIA over six years ago. This was a difficult decision, but I wanted to serve a slightly different market that I thought was underserved — the younger baby boomers and a lot more of my peers (Gen-Xers and some millennials) that fell under the radar of the top wealth management firms.
