From InvestmentNews
Added on March 2016 in Form an RIA
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Summary: The SEC exam experience has been described by advisers and lawyers who have participated in the process as everything from nerve-wracking to gruesome. The commission's approach over the past few years of focusing on firms that represent the biggest risk to investors has inspectors showing up at adviser offices with a more hostile and assertive style, some say.
From Finacial Planning
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Summary: For years, registered investment advisor Birch Cove Group operated a solid business serving high-net-worth clients in a Minneapolis suburb. Two years ago, the firm decided to move to a tony office on the 25th floor of the US Bancorp headquarters tower in the downtown business district of the city itself.
From Think Advisor
Added on March 2016 in Form an RIA
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Summary: The Securities and Exchange Commission delivering on a uniform fiduciary rule for brokers and advisors is likely an “unattainable” goal, as the two divisions charged with writing the rule have “different interests” regarding the rule’s outcome and the agency’s commissioners disagree on whether such a rule is necessary, Bob Plaze, a former SEC executive, said Thursday.
From WealthManagement.com
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Summary: In his time after basketball, Wooden produced a number of noteworthy books on the topic of leadership and success. If you haven’t read any of them, “Wooden: A Lifetime of Observations and Reflections On and Off the Court” is a great place to start. Here are a few excerpts that we thought had particular meaning for financial advisors.
From InvestmentNews
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Summary: Most advisers depend on referrals to provide the majority of their business growth, and some have uncovered best practices to get more client recommendations flowing in from other professionals. Spectrem Group conducted in-depth interviews with 25 accountants and 25 attorneys to find out the secrets of working with these centers of influence.
