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Summary: The SEC will highlight issues including cybersecurity and cryptocurrencies when it performs examinations of broker-dealers and financial advisors in 2019, according to the regulator's recent forecast.
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Summary: We are a unique RIA platform and innovators in portfolio management We have offices in CA, FL & NYC and we work with advisors nationwide. We provide all operations, business development support, multiple custodians, and competitive fees/pay-out.
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Summary: Welcome back to the 104th episode of Financial Advisor Success Podcast. This week’s guest is Saundra Davis. Saundra is the founder of Sage Financial Solutions, which provides training and develops certification programs to teach people the skills of financial coaching.
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Summary: The generational divide is as evident as the San Andreas fault when it comes to how financial advisors see technology altering their businesses. In a new survey of 375 wealth managers by iCapital Network, almost 77% of advisors under the age of 40 believe that technology will level the playing field in wealth management in the next five years vs. 27% for advisors over 40.
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Summary: I have been in the advisor industry for almost 13 years and I have a solid grip on what I am doing. I have changed employers a few times during that period and I am now the owner of my own small RIA. I love the autonomy and unique approach I offer, but I would also like to make more money. There are many large advisors looking to retire, but they do not have a successor lined up or even know where to look for one. As such, how could I identify those advisors and position myself as a worthy candidate for their succession needs?
