From On Wall Street
Added on September 2016 in Form an RIA
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Summary: The most common concerns are the ability to convert clients and overall financial uncertainty. However, if advisers identify the clients who are most reachable and profitable, along with creating a differentiator to separate themselves from other firms and independent advisers, the overall goal of flying solo is attainable.
From On Wall Street
Added on September 2016 in Form an RIA
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Summary: Leaving a financial advisory firm to strike out on one’s own may sound alluring, no bosses micromanaging, no useless meetings eating up time and no corporate constraints on the advice given to clients.
From WealthManagement.com
Added on September 2016 in Form an RIA
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Summary: According to a recent survey conducted by WealthManagement.com and Advicent, half of advisors expect the ruling will force them to change their policies and procedures, complicate compliance and create more paperwork.
From Think Advisor
Added on August 2016 in Form an RIA
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Summary: The American Retirement Association announced Tuesday that it has picked fiduciary experts Don Trone, CEO of 3ethos, and Peter Swisher, senior vice president, National Sales at Pentegra Retirement Services to help develop ARA’s fiduciary education and best practices program for advisors.
From InvestmentNews
Added on August 2016 in Form an RIA
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Summary: Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.
