Added on January 2015 in Form an RIA
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Summary: Independent broker-dealers face recruiting and retention challenges, many of which center on hybrid or dually registered RIAs edging toward greater autonomy. A pair of sessions at the FSI OneVoice conference focused on these issues.
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Summary: When I look back over his past year I see a huge shift in all of business, especially in financial advising and consulting, on being more authentic. Professionally and personally -and I believe it’s going to be big.
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Summary:Put simply, professional knowledge – which exists broadly – is far from the sole deciding factor for many clients when they choose their financial advisor, or in determining their satisfaction level with the advisor relationship. More often than not, personal likability and trustworthiness rate much higher than professional knowledge alone.
Added on January 2015 in M&A Issues
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Summary: Propelled by breakaway brokers, interest from banks and wealth management success, the growth forecast for advisory firms this year is robust, according to one of the industry's leading investment bankers.
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Summary: You’re smart, and you do what’s best for your clients. So you didn’t wait to find a successor. You got on the ball and found one, a promising younger FA. Now she’s installed at your firm and learning what it takes to be boss.
