Added on December 2014 in Join an RIA
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Summary: The last six months have been full of transition. The first wave of change was graduating from William Paterson University in New Jersey and accepting a job as an associate financial adviser with FJY Financial in Virginia. My emotions were mixed; I was thrilled to be offered an amazing job at a prestigious firm, but I was nervous about leaving my family and friends to move to a new, unknown city.
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Summary: There are two critical components for effective COI relationships – personal connection AND structure. We often talk about getting personal with your CPA and attorney partners. In our opinion, it’s the most overlooked component of the relationship. But for today, let’s shift focus to the structural piece of this puzzle.
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Summary: The Securities and Exchange Commission is working on a rule that would require investment advisers to develop a continuity plan for their practices that would go into effect when they leave or become incapacitated, agency Chairman Mary Jo White said Thursday
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Summary: Financial advisors needn’t fear the ravages of disruptive technology. They can grab the bull by the horns and ride it themselves. That may be the overriding message of experts in advisor technology, including Spencer Segal and Eric Poirier, speaking at MarketCounsel’s annual conference in Las Vegas on Wednesday
Added on December 2014 in Form an RIA
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Summary: The SEC’s examinations of independent advisors have become as rare as they are dreaded, thus adding potentially unfair pressure to the few who are scrutinized while disserving the public by letting most advisors go unaudited.
