From Barron's Advisor Center
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Summary: A year ago, I visited a financial advisory business where the older, more senior advisor was at odds with the younger, more junior advisors. The next generation was avoiding talking with the owner as he was always “grumpy” and seemed to show them no respect.
From Financial Planning
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Summary: WASHINGTON — Even as SEC examiners visit a larger swath of registered investment advisors, they are bringing fewer enforcement actions against them, commission officials say.
From Financial Planning
Added on March 2018 in Form an RIA
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Summary:Against an ever-expanding backdrop of mergers, acquisitions and industry consolidation among both broker-dealers and RIAs, a common view is that the solo advisor is doomed. Whether due to the burdens of managing the firm, meeting the rising volume of fiduciary compliance obligations, handling increasingly complex investment or insurance solutions or just doing the planning work in the first place, the presumption is that solo planning is simply becoming untenable — or at least impossible to perform in a cost-effective manner.
From Financial Planning
Added on March 2018 in Join an RIA
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Summary:If you ask Alan Moore about the job market for young financial advisors, he’ll paint you one of the brightest pictures in the industry.
From IRIS
Added on March 2018 in Form an RIA
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Summary: The U.S. Court of Appeals for the Fifth Circuit struck down the Department of Labor’s Fiduciary Rule, stating that it was “unreasonable’ that brokers handling investors’ retirement savings should be required to only act in clients’ best interest.
