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Summary: When financial planners meet at industry conferences, they need a quick shorthand way to gauge how relevant a conversation with this interesting stranger would be. So the first question I hear them ask is ... What’s your AUM?
Added on October 2017 in Form an RIA
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Summary: On Oct. 1 the SEC stopped accepting any amendments in most instances until firms complete the much more onerous job of filling out its new Form ADV, which includes up to hundreds of new disclosures depending on the size of the firm, says GJ King, president of compliance and software consulting firm RIA in a Box.
Added on October 2017 in Form an RIA
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Summary: When President Trump was elected, some broker/dealers and advisors thought it would usher in an era favorable to financial services, with a pullback in regulatory reach and a return to a “friendlier” legal environment for small businesses.
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Summary: There are nearly 60,000 financial advisors working as part of independent RIA firms and hybrid RIAs, according to Cerulli Associates. That's roughly double the level of participation about 10 years ago — with client assets at these firms growing nearly 9% per year during the past decade, as of year-end 2016.
Added on October 2017 in Blog
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