From PFI Advisors
Added on November 2017 in Form an RIA
0 visitor like this article | Viewed 4263 times | 0 comment
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
0 visitor like this article | Viewed 4441 times | 0 comment
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
0 visitor like this article | Viewed 3859 times | 0 comment
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
0 visitor like this article | Viewed 3533 times | 0 comment
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.
From WealthManagement.com
0 visitor like this article | Viewed 4003 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.
