From WealthManagement.com
Added on March 2018 in Form an RIA
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Summary: [white paper] Go deeper than the headlines surrounding the Registered Investment Advisor (RIA) movement. Learn what’s really compelling top teams to break away and redefine the advisor industry.
From ThinkAdvisor
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Summary: Well, I have been there and I can help you out because I have been put in this position many many times. Imagine standing in front of a group of magicians to present a magic trick and knowing that each and everyone of them knows your trick, knows about misdirection, knows everything you are about to do. I overcame that fear and I have three tricks that you can do to make your next public speaking engagement a little easier.
From WealthManagement.com
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Summary: MIAMI —“I feel that all of our websites, all of our LinkedIn profiles, all of our digital presence is vanilla,” John retorted as he shook his head to reinforce his disapproval, then asking “Are we just wasting our time with all of us looking the same and saying the same thing?”
From Financial Advisor IQ
Added on March 2018 in Join an RIA
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Summary: How can breakaway FAs be certain they’re not breaking the law when reaching out to former clients? After all, concerns about whether advisors broke their contractual agreements by soliciting old clients to join them at their new firms are at the center of many current disputes between broker-dealer firms and their former FAs.
From ThinkAdvisor
Added on March 2018 in Form an RIA
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Summary: The Securities and Exchange Commission’s exam division is targeting bad brokers to complement the crackdown being conducted by the securities regulator’s enforcement division, according to Pete Driscoll, director of the agency’s Office of Compliance Inspections and Examinations.
