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.
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.
From Financial Planning
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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.
From ThinkAdvisor
Added on January 2019 in M&A Issues
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Summary: Despite the zig-zag motions of the stock market toward the end of 2018, RIAs are upbeat for 2019, according to a recent TD Ameritrade Institutional 2019 Sentiment survey. One sign of positivity is the record number of mergers and acquisitions executed in 2018, according to DeVoe & Co. Both reports found optimism in the RIA community, yet with some caution.
From InvestmentNews
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Summary: Attracting and retaining top talent in the financial advice industry are of critical importance — employees are, after all, the lifeblood of a successful advisory firm.
