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Summary: Though just 40 years old, Shirl Penney has already lived a life of extremes. Nothing is any more integral to his identity than having grown up in extreme poverty and rising above those early years of privation
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Summary: More than 1,200 coordinated examinations of state-registered investment advisers by state securities examiners in 37 jurisdictions uncovered 698 deficiencies involving cybersecurity, the North American Securities Administrators Association (NASAA) said.
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Summary: In my blog last week, I wrote about the bad karma created by “pre-screening clients,” because nobody likes to hear that they “aren’t good enough,” and consequently aren’t going to think — or speak — well of an advisor who sends that message.
Added on September 2017 in Form an RIA
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Summary: When it comes to technology upgrades, advisors often make the same mistakes their clients do with investments: they buy in the moment, without a plan.
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Summary: “Which software costs less?” is a frequent question I hear from advisors. Another popular question is, “What is the best (CRM, portfolio reporting, planning, etc.) software?” My answer is they are all good. It’s about which one is best for your firm.
