From Think Advisor
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Summary: The initial interaction between a financial advisor and client is crucial not only for building the trust and confidence needed to sustain that relationship, but also for the long-term health of the wealth management firm.
From InvestmentNews
Added on September 2016 in Form an RIA
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Summary: Financial advisory firms that find themselves on an aggressive growth track should be mindful of where they might be headed, because every stage of growth comes with unique challenges.
From On Wall Street
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Summary: Earlier this year, I wrote a column titled “You Might Be a Salesperson If…” in which I described some traits of planners whose primary activity is sales, rather than advice. I was surprised by the vehemence of the emails and online responses from people who first self-characterized as salespeople based on what I wrote, and then objected to my depiction of them.
From On Wall Street
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Summary: The ability to communicate and perform financial transactions over the internet has provided convenience and time management for many people. However, with more and more transactions conducted over the web, the federal trade commission reports that about 9.9 million people are victims of identity theft each year.
From WealthManagement.com
Added on September 2016 in Form an RIA
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Summary: A new analysis by the Institute for the Fiduciary Standard found that the Form ADVs of nine large financial services firms, including Edward Jones and Merrill Lynch, have more conflicts of interest than those of the 135 registered investment advisors surveyed. But perhaps more telling, and often overlooked, is the fact that conflicts of interest are on the rise among RIA firms, which hold themselves out to be independent entities offering objective fiduciary advice.
