From InvestmentNews
Added on October 2017 in Join an RIA
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Summary: As the largest independent advisory firms continue expanding, something unexpected has happened along the way. The typical professional at one of these firms is no longer "independent" in the sense that he or she is an owner of the business. Instead, that individual is an employee of the firm.
From WealthManagement.com
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Summary: Kimberly Sanders, Schwab's director of business consulting services, on the biggest challenge advisors face when marketing their services to clients.
From Financial Planning
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Summary: Amid proliferating cyberthreats and rapidly evolving fintech, FINRA is reevaluating its approach to digital concerns and seeking additional guidance from federal lawmakers.
From Financial Planning
Added on October 2017 in M&A Issues
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Summary: As M&A deals for advisory firms continue to increase in volume and size, 2017 is shaping up to shatter previous records, according to Echelon Partner’s 3rd Quarter Deal Report.
From WealthManagement.com
Added on October 2017 in Form an RIA
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Summary: After numerous delays, updates and court decisions, the future of the Department of Labor’s Fiduciary Rule remains uncertain. While regulators still have not offered a clear picture of what to expect, advisory firms are using this time to examine their processes and payment structures to ensure they will be prepared to comply.
