From CNBC
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Summary: Charles Schwab tracked how 1,000 Americans, aged 21-to-75, manage and use their wealth. Their survey assessed four main categories: Goal setting and financial planning; saving and investing; staying financially on track; and having confidence in reaching financial goals.
From InvestmentNews
Added on October 2017 in Form an RIA
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Summary: The new Securities and Exchange Commission chairman, Jay Clayton, recently testified before Congress that the agency will increase its examinations of investment advisers by 20% in the current fiscal year, and nudge those numbers up a further 5% in fiscal 2018.
From Financial Planning
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Summary: Everyone knows that social-media and digital tools can play a key role in marketing for advisors, but how else can advisors leverage technology?
From Financial Planning
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Summary: When financial planners meet at industry conferences, they need a quick shorthand way to gauge how relevant a conversation with this interesting stranger would be. So the first question I hear them ask is ... What’s your AUM?
From Financial Planning
Added on October 2017 in Form an RIA
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Summary: On Oct. 1 the SEC stopped accepting any amendments in most instances until firms complete the much more onerous job of filling out its new Form ADV, which includes up to hundreds of new disclosures depending on the size of the firm, says GJ King, president of compliance and software consulting firm RIA in a Box.
