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What's Worrying Advisors on the Eve of the SEC Ad Rule?

Added on November 2022 in Form an RIA
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Summary: The commission’s rule update on advertising and marketing reaches its compliance date on Friday, and experts are warning firms to make sure they’re ready.

Financial advisers debate the best way to charge clients

Added on September 2022 in Form an RIA
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Summary: While asset-based advisory fees continue to push commissions into the background, a new generation of financial planners has joined some veteran industry analysts in critiquing the assets-under-management model and advocating for alternatives.

How Next-Gen RIA Talent is Stoking the Fiery M&A Market

Added on July 2022 in Form an RIA
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Summary: Don’t let the dazzling dollar signs and valuation multiples in today’s wealth management M&A market fool you. A great offer isn’t easy to come by. In my years of combing through transaction data and deal structures, I have discovered that the greatest rewards go to sellers who understand that it’s the people in their firms and the types of clients they serve that ultimately shape the answer to the question: “What makes your firm any different?”

Compliance meets Slack and Zoom

Added on July 2022 in Form an RIA
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Summary: As collaboration platforms replace email as the primary form of internal communications, firms must take the necessary steps to protect themselves and their employees.

The Ins and Outs of RIA Insurance

Added on June 2022 in Form an RIA
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Summary: For registered investment advisors, a lot can go wrong, including a bad trade on a client’s behalf, accidentally sending money to a bad actor instead of a client, or having computer systems get hacked. That’s when good insurance can provide important protection.

 
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