Added on January 2019 in Form an RIA
0 visitor like this article | Viewed 3 times | 0 comment
Summary: Eleven-year UBS veteran Brett Oley knew that he eventually wanted to be an independent financial advisor and planned to move within the next 10 years of his career. But he did what many would consider unthinkable: At age 35, with a new baby at home and $90 million in AUM, he started his own practice with independent broker/dealer Raymond James Financial Services. Sixteen months later, Brett and his partner, Ryan Kinser (who joined him in May 2018), are thrilled to be business owners and excited for what the future holds for them. Today, Oley Kinser Concierge Wealth has grown to $125 million in AUM and is continuing its upward trajectory.
Added on January 2019 in Form an RIA
0 visitor like this article | Viewed 26 times | 0 comment
Summary: Happy New Year everybody! If you’re using these six phrases, stop before they become 2019’s newest clichés.
Added on January 2019 in Form an RIA
0 visitor like this article | Viewed 47 times | 0 comment
Summary: Going independent as a Registered Investment Advisor (RIA) is a decision requiring considerable thought and planning. In this second of a three-part series, InvestmentNews Content Strategy Studio explores how one advisor — Reza Zamani, Senior Partner of Steel Peak Wealth Management in Woodland Hills, Calif. — decided to make the move, and how Schwab Advisor ServicesTM not only helped with the transition, but also continues to support Steel Peak's growth.
Added on January 2019 in Form an RIA
0 visitor like this article | Viewed 33 times | 0 comment
Summary: Fines from the two of the country’s leading financial regulatory bodies are down big. FINRA sanctions dropped from $173.8 million last year to just $64.9 million in 2018, and there were fewer fines overall. This trend was also true of the Securities and Exchange Commission, suggesting that regulators are taking a newly relaxed approach to the rules. Look behind the numbers, however, and the reality is just the opposite.
Added on December 2018 in Form an RIA
0 visitor like this article | Viewed 61 times | 0 comment
Summary: For advisors, 2018 was all about adapting to major transformation. For firms, it was about the battle for control which left advisors at a crossroads of accepting themselves as agents of their firms or crafting creative ways to break free.
