From Advisor Perspectives
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Summary: I have met recently with many advisors on the topic of teaming. Even those who run very successful practices with significant growth and revenue can face people-related obstacles. A “team” can be large or small – two partners working together or several hundred people all in the same firm. As you think about ensuring your team is performing as effectively as possible in 2019, here are five key areas.
From Financial Planning
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Summary: Innovative technology can help transform advisors' workflow — but adoption takes time.
From ThinkAdvisor
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Summary: The Securities and Exchange Commission’s exam division is warning registered investment advisors to review their electronic communication procedures, as recent exams showed advisors failed to ensure compliance with SEC rules.
From WealthManagement.com
Added on December 2018 in Join an RIA
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Summary: The last bear market jolted a lot of financial advisors, and many are still feeling the impact a decade later. The advisor workforce is smaller today than it was in 2007, even as the number of millionaires is going up each year. While that’s partly due to age and technology, some of the erosion can be traced to strategic and tactical mistakes.
From InvestmentNews
Added on December 2018 in M&A Issues
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Summary: As 2018 wraps up, it looks like another year of record-level consolidation in the financial advisory space. Following are the 10 biggest deals of the year, according to Devoe & Co.
