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What RIAs should learn from Uber and Lyft

Added on August 2019 in Form an RIA
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Summary: A recent New York Times article called Uber and Lyft two of "the largest and most anticipated … companies to have gone public this year," but in the same breath declared that "they were also the biggest flops," as "both were racking up huge losses with no clear path to profitability."

Two of the most widely-used adviser fintechs you've never heard of

Added on July 2019 in Form an RIA
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Summary: Financial advice requires boatloads of paperwork, but two little known fintech firms have been working for 20 years to make it easier. They likely are the most widely used adviser technology firms in the market — even if most advisers don't even know their names. 

Is There Magic in the Term 'Fiduciary'?

Added on July 2019 in Form an RIA
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Summary: During a question and answer session at a Regulation Best Interest seminar held by the Securities Industry and Financial Markets Association at WilmerHale in Washington, Brett Redfearn, director of the SEC’s Division of Trading and Markets, said that while the agency “talked about a uniform standard” for brokers and advisors while crafting its four-pronged advice-standards package, “it became very clear to me in the early stages these are different forms of advice” offered by advisors and brokers. “There was no magic in the term fiduciary,” Redfearn said, adding that it “was not clear that everybody had a clear understanding of what fiduciary meant.”

Independence means different things to different people in wealth management

Added on July 2019 in Form an RIA
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Summary: With the July 4 holiday fresh in our minds, it strikes me that the word "independence" by itself no longer accurately describes the phenomenon that is changing the wealth management industry today.

Gaining the Technological Edge in Independence

Added on July 2019 in Form an RIA
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Summary: [Podcast] One of the top concerns we hear from advisors considering independence is, “How can an independent firm possibly compete on a technology level with the wirehouses?”

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