From ThinkAdvisor
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Summary: The generational divide is as evident as the San Andreas fault when it comes to how financial advisors see technology altering their businesses. In a new survey of 375 wealth managers by iCapital Network, almost 77% of advisors under the age of 40 believe that technology will level the playing field in wealth management in the next five years vs. 27% for advisors over 40.
From Advisor Perspectives
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Summary: I have been in the advisor industry for almost 13 years and I have a solid grip on what I am doing. I have changed employers a few times during that period and I am now the owner of my own small RIA. I love the autonomy and unique approach I offer, but I would also like to make more money. There are many large advisors looking to retire, but they do not have a successor lined up or even know where to look for one. As such, how could I identify those advisors and position myself as a worthy candidate for their succession needs?
From InvestmentNews
Added on December 2018 in M&A Issues
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Summary: The financial advice industry frequently focuses on the rise of registered investment advisers and the independent broker-dealer market when it talks about trends in the business. But quietly making a comeback are regional broker-dealers, firms that traditionally focused on a specific part of the country but which in some cases have grown into national firms.
From Financial Planning
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Summary: A Chinese proverb says that the best time to plant a tree was 20 years ago. The second-best time is now. That same wisdom applies to fixing the troubling lack of diversity in our profession. We as an industry must take action now or risk becoming irrelevant within our lifetimes.
From ThinkAdvisor
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Summary: The Securities and Exchange Commission announced the 2019 examination priorities for compliance examinations and inspections late Thursday. Next year, according to the SEC’s Office of Compliance Inspections and Examinations, emphasis will be put on digital assets, cybersecurity and investor issues like fees, expenses and conflicts of interest.
