From Financial Planning
Added on September 2016 in Form an RIA
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Summary: For some time, banks and credit unions have been urging customers to change their business from transactional to fee-based. Those who have resisted have a variety of reasons supporting their status quo position. However, at this point, conversion appears to be almost mandatory.
From InvestmentNews
Added on September 2016 in Form an RIA
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Summary: Financial advisory firms that find themselves on an aggressive growth track should be mindful of where they might be headed, because every stage of growth comes with unique challenges.
From WealthManagement.com
Added on September 2016 in Form an RIA
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Summary: A new analysis by the Institute for the Fiduciary Standard found that the Form ADVs of nine large financial services firms, including Edward Jones and Merrill Lynch, have more conflicts of interest than those of the 135 registered investment advisors surveyed. But perhaps more telling, and often overlooked, is the fact that conflicts of interest are on the rise among RIA firms, which hold themselves out to be independent entities offering objective fiduciary advice.
From InvestmentNews
Added on September 2016 in Form an RIA
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Summary: Advisers shouldn't wait until they must comply with the Department of Labor's fiduciary rule to look at the technology that's supporting their practices. Here are eights questions advisers should ask themselves, and eight ways to get started.
From IRIS
Added on September 2016 in Form an RIA
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Summary: There is always a dark side to success. The RIA market has been booming for years, consistently taking assets away from the traditional bank/wirehouse community, and now manages nearly $3 trillion in assets.
