Added on February 2018 in Form an RIA
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Summary: The SEC is taking a hard look at how financial advisory firms are handling disclosures and investment recommendations as part of its policy framework for the fast-developing digital advice space.
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Summary: One of the great things about modern smartphones is that advisers can use their own devices both at work and in their personal lives. Last week, InvestmentNews ran through some of the most popular apps advisers use to get work done, but what about the apps they use for fun? Here are eight that advisers’ fingers are tapping when they’re not working for their clients.
Added on February 2018 in Form an RIA
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Summary:When SEC inspectors drop in on a firm this year, advisors serving retail clients had better be able to justify their fees, compensation and use of digital advice.
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Summary: When personal identity is enmeshed with business—as is often the case in family business—it makes it extremely challenging to see the exit ramp out of the leadership and know when to make the turn.
