From OnWallStreet
Added on April 2018 in Form an RIA
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Summary: The SEC plans to move forward with a proposal to impose new standards of care for investment advisors and broker-dealers who work with retail investors, according to a notice from the commission.
From RIA Match
Added on April 2018 in M&A Issues
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Summary: Join us for a webinar on April 19, 2018 at 1:00 PM EDT.
From ThinkAdvisor
Added on April 2018 in Join an RIA
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Summary: How many advisors are thinking about and making moves to jump ship? According to the latest Fidelity study, 56% have considered or made the switch to other firms over the past five years.
From ThinkAdvisor
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Summary: Despite the increasing fear Americans have of personal and financial information being stolen, most financial-services firms have been complacent on updating or implementing state of the art — or even basic — cybersecurity technology, according to a recent study by Dalbar/ThinkAdvisor, “The State of Authentication in Financial Services.”
From ThinkAdvisor
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Summary: Years ago, in a meandering conversation on what advisors need to be successful, the successful advisor and author Susan Hirshman caught me up short by telling me that it’s only one thing that advisors want and need to be successful: new, good clients.
