From Financial Planning
1 visitor like this article | Viewed 3277 times | 0 comment
Summary: Advisors spent inordinate amounts of time studying financial topics, trends and products so they can make suitable recommendations to their clients for the long term. But are they sufficiently aware of the “future factors” that could have an even bigger effect on their clients’ lives?
From Financial Planning
Added on November 2015 in M&A Issues
1 visitor like this article | Viewed 3941 times | 0 comment
Summary: Thinking of selling an RIA firm? Make sure it's tech-savvy and up to speed on social media, digital platforms and automated investment advice.
From Think Advisor
Added on November 2015 in Form an RIA
1 visitor like this article | Viewed 3416 times | 0 comment
Summary: Financial advisors beware: Your firm’s compliance department is watching you, surveilling your personal brokerage accounts and possibly monitoring your Facebook, LinkedIn and Twitter pages. A new survey from Compliance Solutions at Charles Schwab found that compliance officers spend approximately 11 hours per week monitoring and surveilling employees’ brokerage accounts, and half are also watching employees’ social media pages.
From WealthManagement.com
1 visitor like this article | Viewed 2930 times | 0 comment
Summary: Despite how much time and energy is spent writing, talking and thinking about the rise of online financial advice, it's still a fairly misunderstood topic, according to the Tiburon Research Group. Everyone seems to have a different definition of “robo-advisor,” and they lead to huge differences when determining the impact online advice has on the wealth management industry.
From Think Advisor
1 visitor like this article | Viewed 3425 times | 0 comment
Summary: As the independent advisory business transitions from small business to the next level, firm owners need to transition, too. We’ve written a lot over the years, about how, as firms grow, owners need to become good people managers. They also need to become good leaders; and one of the most critical times for owner-advisors to step up and be a leader is when they or their employees make a mistake or when some new initiative doesn’t do as well as expected.
