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.
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.
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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?”
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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.
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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.
