Added on February 2014 in Form an RIA
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Summary: Specifics of the SEC's Office of Compliance Inspections and Examinations (OCIE) program, called the "Never-Before Examined Initiative" and aimed at targeting unexamined advisors that have been registered with the SEC for three or more years, come just over a month after the agency announced that this issue would be an examination priority in 2014.
Added on February 2014 in Form an RIA
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Summary: As the world of financial advice continues to grow and evolve, advisory firms are increasingly going through a series of consistent stages in the growth of their firm.
Added on February 2014 in Form an RIA
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Summary: Financial advisers looking for new ways to find clients should consider whether the “look right under your nose” approach that's worked for a couple successful advisers would work for them, too.
Added on February 2014 in Form an RIA
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Summary: When I was first considering starting my own independent RIA, I knew there was no way I could keep up with "robo-advising platforms" and their powerful, interactive tools. Over the last year or two that's changed. Today there are a number of systems and software options that allow smaller RIAs to offer their clients the same level of technology and service that they'd find in an online platform or with a larger adviser.
Added on February 2014 in Form an RIA
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Summary: Flying solo in the financial-advice business has never been a cakewalk, and mounting compliance costs are making it even tougher. According to Cerulli Associates, the number of sole practitioners has shrunk over the past five years, especially among independent broker-dealers, where multi-advisor practices are up 55%.
