From WealthManagement.com
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Summary: The wealth management industry is facing pressure to consolidate as the advising community tackles challenges like ever-changing industry regulation, consolidation and revenue compression. Offices of Supervisory Jurisdiction (OSJs), independent broker-dealer branches that supervise and provide consulting and business services to independent advisors, are not immune to this trend. In order to stay competitive and grow their businesses, OSJs should consider the many ways they can articulate their unique value and build scale into their models to attract and retain advisors who would otherwise remain self-supervising.
From OnWallStreet
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Summary: The CFP certification may be one of the most popular credentials in the industry. More than 80,000 individuals have become certified financial planners. But earning the right to add those letters after your name is no easy task.
From ThinkAdvisor
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Summary: In the independent advisory industry, the “it” in “if you build it” is the firm of your dreams. And the “they” in “they will come” are the clients. The hope is that if you build a great firm, clients will be flocking to your ballpark.
From ThinkAdvisor
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Summary: How many people do you know that have so much to offer but bad habits prevent them from being their best? I can’t tell you how many sales professionals I see that look so good, come across so well, work for such great companies, and yet don’t do what it takes to run a healthy business.
From FA Magazine
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Summary: RIAs are increasingly aware that electronic communication with clients, custodians and vendors needs to be locked down. Whether they are taking the right steps to encrypt data is another story.
