Added on February 2018 in Form an RIA
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Summary:When SEC inspectors drop in on a firm this year, advisors serving retail clients had better be able to justify their fees, compensation and use of digital advice.
Added on February 2018 in Form an RIA
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Summary: The chief information security officers at financial institutions are increasingly being thrust into the organizational spotlight as concerns with data security grow, according to a new report by the Financial Services Information Sharing and Analytics Center.
Added on February 2018 in Form an RIA
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Summary: My journey evolved from the excitement of the launch, to the landing of my first client, to the fear of not knowing what my financial planning deliverable was, to coming to the realization at around six months that “this is working” and I won’t go out of business, to increasing my fees (a few times), to losing my first client, and to eventually paying myself my first paycheck.
Added on January 2018 in Form an RIA
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Summary: Every year RIAs are required to update their Form ADVs with the Securities and Exchange Commission within 90 days of the end of their fiscal year; this year those filings will be a lot more complicated. RIAs have to complete a revised ADV Part 1A form, which requires far more disclosure about separately managed accounts (SMAs), social media, multiple offices and more.
Added on January 2018 in Form an RIA
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Summary: If consumers can automatically pay their Netflix or Amazon Prime subscriptions each month using a credit card, why can't they do the same for financial planning?
