Added on October 2016 in Form an RIA
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Summary: We recently gathered a group of registered investment advisor (RIA) firm leaders and retirement attorneys from a leading law firm for a discussion on how the Department of Labor (DOL) Investment Advice rule impacts RIAs.
Added on October 2016 in Form an RIA
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Summary: The most important word to advisors these days is fiduciary, according to Tom Giachetti, chairman of the securities practice at Stark & Stark.
Added on October 2016 in Form an RIA
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Summary: Over time, the pain of staying in a wirehouse environment can outweigh apprehension over the work it takes to leave, two veteran advisers told participants during a Financial Planning webinar covering the challenges of going independent.
Added on September 2016 in Form an RIA
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Summary: In recent months, there has been an upsurge of serious interest from traditional brokers in becoming registered investment advisers, reversing a recent trend.
Added on September 2016 in Form an RIA
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Summary: A TD Ameritrade Institutional survey this year found that among brokers considering a switch to the registered investment adviser model, there are three main fear factors that keep them pulling the trigger: financial uncertainty, business operation risks and the potential for losing clients.
