From Financial Advisor IQ
0 visitor like this article | Viewed 3212 times | 0 comment
Summary: American consumers are increasingly using financial advisors but many traditional wealth management businesses leave out the less affluent at their own peril, according to a recent report.
From Financial Planning
1 visitor like this article | Viewed 3794 times | 0 comment
Summary: Bill Morrissey, LPL's chief recruiter, argues that the IBD is well positioned to capitalize from the new Department of Labor fiduciary rule. For one, the rule is expected to accelerate consolidation and push advisers to new homes.
From Think Advisor
0 visitor like this article | Viewed 2733 times | 0 comment
Summary: Just as registered investment advisors name adopting cybersecurity policies as their top compliance chore, RIAs rate anti-money laundering policies as their second biggest concern.
From Think Advisor
0 visitor like this article | Viewed 3275 times | 0 comment
Summary: Like most advisory firm owners and business consultants today, when I started my consulting business 15 years ago I thought business consulting was an ongoing process: with the consultant serving as an “off the books” member of the executive team, working to grow a successful advisory business. I even described my services as a “virtual CEO or COO,” or some fancy name that I care not to remember.
From InvestmentNews
0 visitor like this article | Viewed 3783 times | 0 comment
Summary: Brokers who change phone numbers and email addresses in an attempt to retain clients before leaving their firms is a regular problem that has sparked recent disciplinary action, according to the Financial Industry Regulatory Authority Inc.
