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.
From ThinkAdvisor
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Summary: A big gap exists between what retail investors expect from their financial advisors and how satisfied they are with the relationship, according to a study released Monday by the CFA Institute.
From ThinkAdvisor
Added on March 2018 in Form an RIA
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Summary: Fidelity recently surveyed a group of financial advisors across different segments of the business about the impact of major firms leaving the Protocol for Broker Recruiting.
