Added on September 2017 in Form an RIA
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Summary: A cofounder of Graystone Consulting, Morgan Stanley’s wealth management business that caters to institutions and wealthy individuals, has left the group to start his own independent advisory firm.
Added on September 2017 in Form an RIA
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Summary: New financial advisers are finding strange discrepancies between states in terms of the way regulators are allowing them to charge their clients fees for services.
Added on August 2017 in Form an RIA
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Summary: New RIA registrations each year have more than doubled since the start of the millennium, according to an exclusive Financial Planning review of state notice filings. The same period has also seen explosive growth in RIAs’ state registrations, a sign that RIAs are expanding their national footprint.
Added on August 2017 in Form an RIA
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Summary: On August 7, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) released their observations of cybersecurity preparedness from the examinations of 75 SEC registered firms, including registered investment advisors (“RIAs”).
Added on August 2017 in Form an RIA
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Summary: In addition to the many disclosures non-level-fee fiduciaries must make when they execute a best-interest contract with new or existing clients, advisors must also make disclosures about their website and make certain information available there.
