From Financial Advisor IQ
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Summary: You’re smart, and you do what’s best for your clients. So you didn’t wait to find a successor. You got on the ball and found one, a promising younger FA. Now she’s installed at your firm and learning what it takes to be boss.
From Financial Advisor Magazine
Added on January 2015 in Form an RIA
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Summary: In a joint letter to the Finra Dispute Resolution Task Force sent Wednesday, the groups asked the task force to release information gathered in mandated arbitration disputes and information about the dispute process. The arbitration hearings are frequently the result of complaints filed by investors against advisors, brokers, advisory firms or broker-dealer firms.
From Think Advisor
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Summary: Product providers’ efforts to reach financial advisors may be for naught if they don’t ease up on how often they’re communicating with them. A report released in January by Practical Perspectives found that advisors are overwhelmed by the contact they get from various asset managers, insurance companies and other product providers.
From Think Advisor
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Summary: The terrain for financial advisors is shifting. The ubiquitous adoption of smartphones and the use of social media have changed the way advisors connect with clients.To find out what advisors and clients are thinking, EY’s 2014 Wealth Management Survey asked both groups a series of questions.
From InvestmentNews
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Summary: InvestmentNews hosted a roundtable of technology executives from independent broker-dealers and custodians to learn about the biggest issues they're tackling, what they're hearing from advisers and what they plan to focus on next. Here's what they had to say:
