From InvestmentNerws
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Summary: Financial advisers managing at least $100 million in assets under management are best suited to leave the commission side of the retail securities industry to start an independent registered investment adviser.
From wealthmanagement.com
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Summary: The SEC approved a revamp of its rules on how investment advisors advertise and pay solicitors, making the first substantive changes to the commission’s marketing mandates since the 1940 Advisers Act. The changes mean advisors can now use testimonials and endorsements in advertising under certain conditions, and can also use third-party ratings in marketing provided they include particular disclosures.
From InvestmentNews
Added on December 2020 in M&A Issues
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Summary: The data is still being gathered, but preliminary results suggest the pace of consolidation in the RIA space was barely hampered by the effects of the global pandemic that effectively shut down, or at least locked down, much of the global economy.
From ThinkAdvisor
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Summary: From Wall Street to Main Street, broker-dealers, RIAs and financial advisors deserve a lot of credit for responding so nimbly to the crisis.Advisors and their firms showed they’re able to both service clients and grow their businesses during this challenging time.
From Financial Planning
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Summary: Surprises abound in this year’s RIA Leaders ranking. At the outset, we expected planners would tell stories about their struggles: coronavirus, shuttered offices, economic turmoil, jittery clients. But that’s not what they focused on.
