Added on September 2018 in Join an RIA
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Summary: [Podcast] David Canter, Executive Vice President and head of the RIA segment at Fidelity Clearing & Custody Solutions, joins Mindy to explore the mindset and motivations of the increasing number of advisors making the move to independence, as well as the expanding role custodians play in the space. (Hint: It’s no longer solely about safe asset custody.)
Added on September 2018 in Form an RIA
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Summary: The North American Securities Administrators Association has put out a request for comment on a new rule proposal that would impose stricter cybersecurity requirements on state-registered investment advisors.
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Summary: Investors are a diverse group — much more so than standard tropes might suggest — and this diversity has big implications for financial advisers, ranging from how they search for clients to the financial recommendations they make, according to a new report published by Morningstar Inc.
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Summary: [Podcast] This week’s guest is Julie Murphy. Julie is the founder and chief visionary officer of JMC Wealth Management, a dual-registered advisory firm in Chicago with a team of 7 that serves more than 200 active clients with $200 million of AUM, on top of generating nearly $300,000 a year in recurring financial planning fees.
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Summary: We caught up with thought leader Mark Tibergien during the Pershing RIA Symposium in Chicago on Thursday. Tibergien, CEO of BNY Mellon’s Pershing Advisor Solutions, discussed the RIA-zation of the business, key challenges going forward, and what’s next on the horizon for RIAs.
