From WealthManagement.com
Added on March 2018 in Form an RIA
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Summary: Late yesterday, a U.S. Court of Appeals for the Fifth Circuit panel struck down the Department of Labor’s fiduciary rule. But industry executives and experts say the industry will continue down the road toward a fiduciary standard, regardless of the court’s decision.
From InvestmentNews
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Summary: Investors aren't the only ones who will have something to worry about if the stock market heads for a major correction. As volatility steadily ticks higher, owners of small financial advisory firms might start to feel as if the walls are closing in on them.
From Financial Planning
Added on March 2018 in Join an RIA
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Summary: It's not only legally dubious for wirehouse brokers planning to go independent to solicit clients for their new firm, it's unnecessary, says Tim Oden of Schwab Advisor Services.
From Think Advisor
Added on March 2018 in Form an RIA
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Summary: While amended Form ADV filings are due on March 31, a Saturday, the Investment Adviser Registration Depository (IARD) “is open for business,” Paul Cellupica, deputy director of the Securities and Exchange Commission’s Division of Investment Management, warned advisors Thursday.
From IRIS
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Summary: According to The BEI 2016 Business Owner Survey Report, 83% of business owners have no written Exit Plan, even though only 9% of owners claim that they want to stay in their businesses forever. We’ve discussed how a failure to have an Exit Plan—even if owners have no interest in exiting—can do harm to a business’ value. But does the same idea apply to business owners who actively plan to die at their desks?
