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Summary: Registered investment advisers are under increased pressure to grow their business and deepen client relationships, which forces them to sell their full spectrum of services to as many clients as possible. Thus, RIAs have become masters of the cross-sell.
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Summary: Developing the next generation of talent and worries over cybersecurity are the top priorities for RIAs, according to a just-released Investment Adviser Association and Cerulli Associates poll.
Added on March 2017 in Form an RIA
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Summary: The past couple of years have been the hardest of my life. My three-year-old solo-RIA almost ground to a halt through client attrition, and only with a complete rebrand with lots of help from fellow advisers and a CPA, is it starting to come back to life. I’ve questioned whether I can effectively run a business and if my emotions, finances and marriage can withstand the struggles of trying to build one.
Added on March 2017 in M&A Issues
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Summary: Crescent Wealth Management, a 15-year-old life-insurance consultancy in Atlanta, recently added investment advice to its toolkit through Dynasty Financial Partners, an infrastructure outsourcer to private-client RIAs.
Added on March 2017 in Form an RIA
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Summmary: [SLIDESHOW] Advice firms filing their form ADVs after Oct. 1 will need to change certain items to meet new requirements adopted by the Securities and Exchange Commission last summer. The additional data will help the SEC focus on examining firms more often that present the greatest risks, said Bridget Farrell, senior counsel in the SEC's division of investment management. She reviewed these items at the Investment Adviser Association Compliance Conference in Washington, D.C.
