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Summary: Planners say they expect to see increases in revenue and client assets in 2017, according to the latest TD Ameritrade Institutional RIA Sentiment Survey. Accordingly, they plan to rev up spending on marketing, business development and technologies such as electronic signatures, the survey revealed. Also in the works: initiatives like more networking to attract a new generation of clients.
Added on February 2017 in Form an RIA
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Summary: As the industry landscape continues to evolve and traditional brokerage firms become more bureaucratic (especially in a post-DOL rule world), the idea of going independent has become a hot topic among advisors considering change. While many seasoned advisors entertain the thought of having greater freedom, flexibility and control over their business, many believe it’s too late for them to chase that dream.
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Summary: The Securities and Exchange Commission exam arm announced Tuesday that deficiencies involving compliance procedures, regulatory filings, the custody rule, code of ethics, and books and records are the five that most often trip up registered investment advisers.
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Summary: RIAs are missing out big time on a $5 trillion dollar market, according to Skip Schweiss, managing director of advisor advocacy for TD Ameritrade Institutional.
Added on February 2017 in Form an RIA
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Summary: In what could amount to a break with former comments, Merrill Lynch could delay changes it pledged to make to comply with the fiduciary rule.
