From IRIS
Added on November 2017 in Form an RIA
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Summary: This news comes with little surprise and we fully expect that Merrill Lynch will soon follow suit. Certainly announcements like this cause an abundance of emotions from fear and anxiety to anger and everywhere in between for advisors who were protected by the seminal document.
From PFI Advisors
Added on November 2017 in Form an RIA
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Summary: First, a disclaimer: We are not lawyers, and this post does not contain legal advice of any kind. As operational consultants that advise financial advisors on the nuances of starting an RIA, we always suggest advisors consult with legal counsel before embarking on a breakaway transition.
From IRIS
Added on November 2017 in Form an RIA
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Summary: UBS Wealth Management Americas said Monday morning it was exiting an industry agreement known as the protocol for broker recruiting, which has made it easier for brokers to change firms. UBS follows the lead of Morgan Stanley, which told its employees at the end of October it would no longer work under the protocol.
From IRIS
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Summary: For any successful marketing plan, the first and most important step is to determine the main purpose and goals for any activity. Before even considering leveraging social media to connect with current and prospective clients for your advisory firm, you should consider.
From Belay Advisors
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Summary: [Podcast] Two leading financial advisors have been through it all and on today’s podcast, we come to you live from Schwab Impact 2017. We discuss what they’ve learned, share their insights on how to be successful going forward, and get the perspective from a Schwab executive on supporting and building excellent RIA firms.
