Added on December 2018 in Form an RIA
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Summary: For advisors, 2018 was all about adapting to major transformation. For firms, it was about the battle for control which left advisors at a crossroads of accepting themselves as agents of their firms or crafting creative ways to break free.
Added on December 2018 in Join an RIA
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Summary: Puncturing one of the RIA industry’s most widely-accepted axioms, the Dynasty Financial Partners chairman did indeed make that assertion at the recent MarketCounsel Summit in Las Vegas. Contrary to ominous reports of a talent shortage, Thomson said, too many advisors are serving too few clients.
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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: Because hiring is not easy, and retaining good employees can be even more difficult, we tapped the insights of Caleb Brown, author of the new book "Successful Hiring for Financial Planners: The Human Capital Advantage."
Added on December 2018 in Form an RIA
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Summary: Does your compliance team have the resources it needs to fully meet the SEC’s requirements? Before you quickly answer “yes” to that question, here’s the story of the problems an RIA faced by assuming that compliance costs could be easily reduced.
