From Thin Advisor
Added on September 2015 in Form an RIA
1 visitor like this article | Viewed 3387 times | 0 comment
Summary:Pressures on compliance professionals at advisory firms and broker-dealers continue to mount as the Securities and Exchange Commission, the Obama administration, the Financial Industry Regulatory Authority and the Department of Labor are gearing up to usher in new requirements.
From On Wall Street
1 visitor like this article | Viewed 2984 times | 0 comment
Summary: First the rise of robo advisors, now a wild market with no end to volatility in sight – you can’t be blamed for wondering what’s next. But a little extra knowledge and confidence in your own skills can do wonders in helping you feel prepared for any challenge. For the advisor thinking about taking a refresher course or seeking a better understanding of their craft, we’ve compiled a syllabus geared toward sharpening skills and developing new ones.
From WealthManagement.com
Added on September 2015 in M&A Issues
1 visitor like this article | Viewed 4074 times | 0 comment
Summary:I’m betting that the chorus of “Should I Stay or Should I Go,” the 1982 song by The Clash, has come to mind for every Barclays-affiliated advisor over the past several months. When Stifel Financial announced its intent to acquire Barclays’ 180+ advisor wealth management unit, the news sent shockwaves throughout the advisor world.
From Financial Advisor IQ
Added on September 2015 in Form an RIA
1 visitor like this article | Viewed 3780 times | 0 comment
Summary: Independent financial-advice firms have seen tremendous growth recently — but it appears to be due to bigger advisor headcount at existing firms rather than from new-firm creation, writes InvestmentNews. On-staff FAs now outnumber advisor-owners, but earn only slightly more than two years ago, according to the newspaper.
From Investment Advisor
1 visitor like this article | Viewed 3445 times | 0 comment
Summary: In his 2007 book “Blink,” Malcolm Gladwell combines a broad spectrum of research to make the case for the power of first impressions. One of his quoted sources is relationship counselor John Gottman, who penned “The Science of Trust” and other books on human relationships. Gladwell focused on Gottman's “four horsemen of the apocalypse” behaviors as strong predictors of how a relationship will work out. Unfortunately, according to Gottman himself, Gladwell got it wrong.
