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Summary: [Podcast] Two leading financial advisors have been through it all and on today’s podcast, we come to you live from Schwab Impact 2017. We discuss what they’ve learned, share their insights on how to be successful going forward, and get the perspective from a Schwab executive on supporting and building excellent RIA firms.
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Summary: In case you missed it, the U.S. Securities and Exchange Commission examiners in Boston, Mass. have been showing up at registered investment advisors’ offices unannounced to conduct “surprise” examinations.
Added on November 2017 in Form an RIA
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Summary: After exploring the origins of independence in the first episode of this series on independence for financial advisors, Mindy Diamond walks advisors through a process to help them determine if the model is right for them. She’ll share a story of 2 advisors who, after asking themselves a series of questions, identified that independence was not right for them.
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Summary: Wealth advisors should look to Amazon’s proven stronghold in the retail space as a model for building stronger customer relationships.
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Summary: There’s one crucial question I ask of clients before I start working with them. It often doesn’t take too long to answer, but it can determine if I accept these people as clients or not.
