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ICYMI: Mature Solo Practitioner in Connecticut looking for successor

From RIA Match
Added on February 2019 in Thought Leadership
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Summary: Sole owner of 32 yr old small hybrid independent RIA/BD.  Looking at succession but not full retirement.  Seeking experienced break away individual to join me and learn the fee business while they manage their existing, portable book w/o any quotas and bureaucracy.  The eventual goal is to become my successor.  Spotless compliance record required.  A unique opportunity.

Mark Tibergien: The Biggest Risks RIAs Face

From ThinkAdvisor
Added on February 2019 in Plan for the Future
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Summary: Mark Tibergien, CEO of Advisor Solutions at BNY Mellon | Pershing, has a message for RIA firms that want to grow in a market increasingly dominated by $1 billion-plus AUM firms: Share the wealth.

Answers to the Top-Five Questions Advisors Have About Independence

From WealthManagement.com
Added on January 2019 in Form an RIA
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Summary: [Podcast] It’s hard to deny the increasing momentum toward independence. Whether it’s studies showing year-over-year growth nearing double digits, or headlines touting another breakaway team making the leap, there are few advisors who can deny the significance and validity of the space.

The RIA space is hot, and brokers are on the move

From InvestmentNews
Added on January 2019 in Join an RIA
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Summary: After working for more than 25 years in the securities industry, first as a broker and then as a hybrid adviser, Nathan Bachrach dropped his Financial Industry Regulatory Authority Inc. registration in 2012 and became a fee-only adviser.

Voices RIAs: How to build a cybersecurity backbone before the SEC calls

From Financial Planning
Added on January 2019 in Manage Your Practice
0 visitor like this article | Viewed 3102 times | 0 comment

Summary: Cybersecurity is a serious game and independent registered investment advisors are up against some of the best criminals out there, simply because of the nature of this business. Since the stakes are so high, the SEC is intent on penalizing firms that lack a locked-down offense and defense.

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