From WealthManagement.com
0 visitor like this article | Viewed 3650 times | 0 comment
Summary: In case you missed it, the U.S. Securities and Exchange Commission examiners in Boston, Mass. have been showing up at registered investment advisors’ offices unannounced to conduct “surprise” examinations.
From IRIS
Added on November 2017 in Form an RIA
0 visitor like this article | Viewed 4855 times | 0 comment
Summary: After exploring the origins of independence in the first episode of this series on independence for financial advisors, Mindy Diamond walks advisors through a process to help them determine if the model is right for them. She’ll share a story of 2 advisors who, after asking themselves a series of questions, identified that independence was not right for them.
From Barron's Advisor Center
0 visitor like this article | Viewed 3105 times | 0 comment
Summary: Wealth advisors should look to Amazon’s proven stronghold in the retail space as a model for building stronger customer relationships.
From Financial Planning
0 visitor like this article | Viewed 3545 times | 0 comment
Summary: There’s one crucial question I ask of clients before I start working with them. It often doesn’t take too long to answer, but it can determine if I accept these people as clients or not.
From WealthManagement.com
Added on November 2017 in Join an RIA
0 visitor like this article | Viewed 4358 times | 0 comment
Summary: When LPL announced their purchase of four National Planning Holdings firms, it wasn’t just another day at the office for advisors in the independent broker/dealer space. “I feel like I’m riding a wave of disruptive uncertainty,” one IBD advisor said to me. “Are we next?”
