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Summary: The RIA firm owner knew he had a problem. Team morale felt inconsistent, costs were up, margin squeeze and regulatory demands were constantly increasing, and everything felt more complicated in the always-on digital world.
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Summary: We can hardly believe December is already here! We know this can be a crazy time of year, so take a break to check out some of our favorite marketing articles of the week.
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Summary: For years, I contributed the maximum to my 401(k). During that time, I left one employer and then a company where I was working was sold. So, I rolled the money over to Fidelity, making the allocation decisions myself. I had another account that I managed myself very conservatively, mostly in cash. Then about 10 years ago, I realized that, other than my apartment, that account was my biggest asset, and it was time to get professional advice. I was around 50.
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Summary: The world is changing fast and you can't plan for everything. But you can implement sound strategies today to position your business for future success.
Added on December 2017 in Form an RIA
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Summary: The bylaws of the Financial Industry Regulatory Authority Inc. state that it must always have more public representatives than industry representatives on its board of governors. That makes sense for a regulatory body that is supposed to be dedicated to investor protection and market integrity. But a new report raises, yet again, the question of whether Finra is serious about its pledge to protect investors, or is simply paying lip service to that mission.
