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Recruiting Season Is in Full Swing

Added on March 2016 in Join an RIA
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Summary: Spring is almost upon us, and though there are plenty of important tax issues for us to be thinking about, I would much rather talk about another major part of the season for us at my firm — recruiting!

Fiduciary Debate 2016: A Watershed Year

Added on March 2016 in Thought Leadership
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Summary: January paper released by the Institute for the Fiduciary Standard detailed regulatory and fiduciary issues on the table in 2016: the Department of Labor's fiduciary rules for IRA advisors; the Securities and Exchange Commission's fiduciary standard for brokers; the CFP Board's announced review of its best interest standard for financial planners; and the Institute's own “Best Practices for Fiduciary Financial

Eight Traits of Highly Successful Advisors

Added on February 2016 in Thought Leadership
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Summary: Advisors are facing new challenges, whether they are harnessing the power of technology, confronting the prevailing downward pressure on fees, managing the impact of demographic shifts, or mastering a fast-moving market. What has worked in the past may not necessarily work in the future. But for those who can evolve with the industry, there will be greater opportunities ahead.

Inside a Successful Succession

Added on February 2016 in Plan for the Future
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Summary: Thomas “Tif” Joyce, a solo advisor and owner of Sonoma County Wealth Advisors, started thinking about retirement in 2010. He wanted to extract the financial value of the practice, of course, but among all the options to do that, there was one non-negotiable: Nothing could interrupt the lives of his clients or his clients’ children.

The 'Tug of War' Over Cyber/Data Security

Added on February 2016 in Form an RIA
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Summary: By now, the awareness to better define and document protection of critical information, strengthen data security procedures as well as integrate incident response plans is well understood at all levels of business. Recent breaches (Target, Disney, OPM) only confirm such and lead to significant legislative and regulatory actions including those recently by FINRA and the SEC.

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