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Summary: When it comes to generating new business, most professional services firms rely on referrals. In fact, according to our study of 530 professional services firms, generating referrals ranked highest in terms of current marketing priorities.
Added on March 2016 in Form an RIA
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Summary: The Department of Labor's impending fiduciary rule has prompted advisers to review their strategic plans and weigh the expanded role technology will play in keeping advisory practices in compliance, as well as profitable.
Added on March 2016 in Form an RIA
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Summary: The SEC exam experience has been described by advisers and lawyers who have participated in the process as everything from nerve-wracking to gruesome. The commission's approach over the past few years of focusing on firms that represent the biggest risk to investors has inspectors showing up at adviser offices with a more hostile and assertive style, some say.
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Summary: For years, registered investment advisor Birch Cove Group operated a solid business serving high-net-worth clients in a Minneapolis suburb. Two years ago, the firm decided to move to a tony office on the 25th floor of the US Bancorp headquarters tower in the downtown business district of the city itself.
Added on March 2016 in Form an RIA
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Summary: The Securities and Exchange Commission delivering on a uniform fiduciary rule for brokers and advisors is likely an “unattainable” goal, as the two divisions charged with writing the rule have “different interests” regarding the rule’s outcome and the agency’s commissioners disagree on whether such a rule is necessary, Bob Plaze, a former SEC executive, said Thursday.
