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Summary: Although wealth managers have serious concerns about fee compression, a Cerulli report says that it’s a primary determinant in choosing a provider for relatively few investors. In its report U.S. Retail Investor Advice Relationships 2018: Optimizing Engagement, Cerulli says that client behavior is less tied to fees than advisors might think.
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Summary: Strong growth in the number of registered investment advisory firms brings with it the greater likelihood that they'll be enforcement targets, recent state statistics show.
Added on October 2018 in Form an RIA
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Summary: The push to broaden fiduciary protection for investors at the federal level is looking more and more like a lost cause, so states are starting to step into the void. And that’s prompting some disagreements among organizations that represent financial planners.
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Summary: Even if RIAs with less than $500 million in AUM aren’t ready to buy or sell, they should be assessing their M&A prospects, said Slater, vice president of practice management and consulting for Fidelity Clearing and Custody Solutions.
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Summary: While many advisors work extensively with successful small business owners, many struggle to properly serve that client segment, because they underestimate the role and impact of the most important asset in such investors’ lives: the business itself.
