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SEC Revises Marketing Rules for Advisors

Added on December 2020 in Manage Your Practice
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Summary: The SEC approved a revamp of its rules on how investment advisors advertise and pay solicitors, making the first substantive changes to the commission’s marketing mandates since the 1940 Advisers Act. The changes mean advisors can now use testimonials and endorsements in advertising under certain conditions, and can also use third-party ratings in marketing provided they include particular disclosures.


Not even a global pandemic could derail RIA M&A momentum

Added on December 2020 in M&A Issues
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Summary: The data is still being gathered, but preliminary results suggest the pace of consolidation in the RIA space was barely hampered by the effects of the global pandemic that effectively shut down, or at least locked down, much of the global economy.


7 Predictions for Advisors & Firms in 2021

Added on December 2020 in Other Ideas
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Summary: From Wall Street to Main Street, broker-dealers, RIAs and financial advisors deserve a lot of credit for responding so nimbly to the crisis.Advisors and their firms showed they’re able to both service clients and grow their businesses during this challenging time.


M&A Deals: 'Anxiety is the Starting Point'

Added on October 2020 in M&A Issues
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Summary: Advisors who have been through the wave of industry consolidation know that mergers and acquisitions can prove to be beneficial when done for the right reasons and with proper due diligence. But before they can get to the point of closing the deal, there can be a lot of stress, industry executives say.


RIAs: New Decade, New Goals \- How Will Your Firm Define the 2020s?

Added on October 2020 in Plan for the Future
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Summary: The RIA industry delivered an impressive performance during the 2010s. And though the pandemic has given us pause, now is the time for firms to define how they’ll seize this new decade’s opportunities.

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