Added on September 2017 in Form an RIA
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Summary: The Financial Industry Regulatory Authority Inc.'s mission is to protect investors from fraud and bad practices. It does this by writing and enforcing rules and regulations governing the nation's 3,700 broker-dealers and the 631,000 brokers who are affiliated with them.
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Summary: For Byron Ellis, hurricanes are old hat. The managing director in United Capital’s The Woodlands office, about half an hour outside Houston, told ThinkAdvisor that Harvey is the fourth or fifth hurricane or tropical storm he’s endured, but it doesn’t matter how a storm is rated. “Both can be equally as bad, whether it’s rain, or electricity is out, trees getting blown down,” he said.
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Summary: Good data helps you build trust and credibility. It empowers you to convert leads to prospects, and prospects to happy clients. Bad data, on the other hand, does nothing but inflate your ego at best. At worst, it can blind you to pitfalls that have the potential to undermine your business’ success.
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Summary: It has been over 20 years since we saw the true emergence of the breakaway movement — teams of advisors leaving large firms to go independent. By our accounts, the first wave of breakaways, or the early adopters, emerged in the late 1990s and early 2000s, leaving wirehouses to start their own businesses. This was a time of relatively fewer dedicated resources for teams breaking away –there were a few specialized lawyers, some consulting firms and, naturally, the custodians.
Added on September 2017 in Form an RIA
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Summary: A cofounder of Graystone Consulting, Morgan Stanley’s wealth management business that caters to institutions and wealthy individuals, has left the group to start his own independent advisory firm.
