From wealthmanagement.com
Added on March 2015 in Form an RIA
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Summary: Despite FINRA backing off a bid to become the regulator for registered investment advisors, some still fear the authority's scrutiny if the Securities and Exchange Commission moves forward with third-party examinations.
From IRIS
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Summary: You spend your most productive years building an advisory business. You earn your clients’ trust and develop the relationships over time. They are your clients because of the service provided by you and the team you have assembled.
From Think Advisor
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Summary: Tiger 21, the peer-to-peer network for ultrawealthy investors, in mid-February rolled out the red carpet at its fifth annual members conference for some of the world’s leading thinkers on finance, investment and family relationships.
From Financial Planning
Added on March 2015 in Form an RIA
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Summary: Just over a year ago, I got one of those voicemails that can make an advisor nervous. It was the SEC letting us know that we had three weeks to prepare for an audit.
From RIABiz
Added on March 2015 in M&A Issues
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Summary:United Capital Financial Advisers has pulled off the biggest, best-valued deal in its history, but one that may just underscore how little gas the old roll-up model has in its tank. The Newport Beach, Calif.-based ex-roll-up-turned-super-ensemble-RIA last week quasi-recruited, quasi-purchased a 23-person, $2 billion AUM team — a team that lost its chemistry with its community bank owner after a big Spanish bank purchased it.
