Added on February 2017 in Form an RIA
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Summary: It might surprise you to hear that it is often the most productive and successful wirehouse advisors – usually those who service the highest net worth clients – who feel the most “stuck”. It is their belief that the wealthier and more discerning the client base, the more wed those clients are to the big name firms; that is, the wirehouses.
Added on February 2017 in Form an RIA
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Summary: Once President Trump won the election, it was widely believed it would be a matter of time before he issued an executive order to delay April’s rollout of the Department of Labor's fiduciary rule. Yet, the final version of the memorandum that the president signed on Friday did not match the originally circulated draft and it did not actually include a provision to delay the regulation after all, despite wide reporting to the contrary.
Added on February 2017 in Form an RIA
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Summary: The stern words of a former FBI agent planted the idea for this month’s issue on cybersecurity. At last year’s FSI OneVoice conference, Clyde Langley, a former agent who’s now vice president of Schwab’s fraud prevention and investigations unit, told a room of worried executives that hackers were probably lurking in their firm’s systems.
Added on February 2017 in Form an RIA
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Summary: From all sides, independent advisers are told that, to stay current, they must integrate the latest technology tools into their practice. They hear regular warnings, too, about cybertheft schemes and protecting their businesses against malicious electronic attacks.
Added on January 2017 in Form an RIA
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Summary: It’s not as easy as it looks. That applies to both breakaway brokers and the platform providers who service them — a fact most recently underscored by the demise of Sanctuary Wealth Services, which will go out of business at the end of March.
