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Summary: Recent market volatility may have just done you a favor. It's a potent reminder that the bull market is long in the tooth. Hopefully, all of this volatility has you asking yourself: Is your business prepared not only to weather a prolonged market slowdown, but to thrive in it?
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Summary: Despite its ubiquity in everyday life, texting is closely regulated for financial advisors—to the point that texting clients and prospects can feel almost too risky to be practical. Consider this statistic: Americans make five times as many texts as phone calls. Texting is immediate, it's convenient, and in the event you need to refer back to what was said, it's all right there. So why won’t your broker-dealer allow you to send a text when you need to get in touch with a client, and what can you do about it?
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Summary: The current volatility means that some individuals need more than bottom-line financial advice. And some advisors can help with the extra needs.
Added on November 2018 in M&A Issues
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Summary: The choppy financial markets might be rattling investors, but for savvy owners of advisory firms the scenario is playing out perfectly because it's driving merger and acquisition activity.
Added on November 2018 in Form an RIA
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Summary: The Certified Financial Planner Board of Standards said Tuesday that it is seeking public comment on proposed changes to its disciplinary process.The proposed Procedural Rules, which will consolidate and replace CFP Board’s existing Disciplinary Rules and Procedures and Appeal Rules and Procedures, are designed “to improve” CFP Board’s enforcement function.
