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Summary: Broker-dealers and investment advisers have had two weeks to dissect the Securities and Exchange Commission's proposed overhaul of investment-advice standards, and some big questions have begun to emerge.
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Summary: In this topsy-turvy profession, emotional support tends to come from the same people who help us through all the ups and downs of life: our spouse, family members and close friends.
Added on April 2018 in Form an RIA
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Summary: Employee advisors are often limited to organic growth alone—that is, adding one client at a time, one brick at a time. For those who want to meaningfully accelerate their growth and use multiple initiatives to do so, organic growth alone can feel limited. It’s these advisors often feel the greatest pull towards independence.
Added on April 2018 in Form an RIA
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Summary; The Securities and Exchange Commission's advice rule proposal released earlier this week could give advisers working in the registered investment advisory channel a leg up over brokers.
Added on April 2018 in Form an RIA
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Summary: At my first client meeting as a financial advisor, I sat across from a man 25 years my senior, and tried to explain to him the difference between the A share, B share and C share of the mutual fund I was recommending. He interrupted me and said, “whatever one you think is best.”
