Added on April 2019 in Form an RIA
0 visitor like this article | Viewed 3464 times | 0 comment
Summary: Some independent broker/dealers, offices of supervisory jurisdiction (OSJs) and registered investment advisors market their advisors as “independent." But executives on the fee-only RIA side of the business say breakaway brokers are being sold a bill of goods when they join these models.
Added on April 2019 in Join an RIA
0 visitor like this article | Viewed 3756 times | 0 comment
Summary: Aaron Shapiro's quest to rethink employee stock purchase plans began with a startling insight: If only his mother had participated in one, she'd be a millionaire today.
Added on April 2019 in M&A Issues
0 visitor like this article | Viewed 3419 times | 0 comment
Summary: The Overland Park, Kansas-based RIA has made its sixth purchase of the year buying Singer Xenos Schechter Sosler, an advisory firm in Coral Gables, Florida with more than $1.3 billion in assets under management. And Mariner CEO Marty Bicknell says he’s not done yet, as he hopes to complete approximately six more transactions by the end of the year.
Added on April 2019 in Form an RIA
0 visitor like this article | Viewed 3368 times | 0 comment
Summary: Having helped many RIAs with marketing, I find that the firms that are most successful in their efforts are those that have established a message, plan, and resources before they begin.
0 visitor like this article | Viewed 2811 times | 0 comment
Summary: The Financial Industry Regulatory Authority said Wednesday that it has formed an Office of Financial Innovation to be headed by Haimera Workie.The new office “will serve as a central point of coordination for issues related to significant financial innovations by FINRA member firms, particularly new uses of financial technology, or fintech,” FINRA states.
