Added on January 2016 in Form an RIA
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Summary: Before becoming managing partners of Atlanta-based Compass Wealth Management, Robert Amato and Beau Davis knew that no matter how high they climbed in the broker-dealer model, they’d still be working for someone else. They chose another path. They chose to build something all their own by forming an RIA.
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Summary: As family structures in the U.S. have changed significantly over recent decades, so too have the financial concerns of new family configurations. Only 19.6% of U.S. households today represent married heterosexual couples with children, compared to 40.3% of such traditional families in 1970, according to a new report from Allianz.
Added on January 2016 in Form an RIA
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Summary: Securities regulators often use enforcement cases to highlight areas of the law they want financial professionals to be extra vigilant about avoiding. Here are seven compliance messages that rang loud and clear in 2015 and will likely be heard throughout the new year.
Added on December 2015 in M&A Issues
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Summary: RIA firms and consolidators—defined as an organization whose business model is predicated on making RIA acquisitions—have dominated M&A over the last couple years. But lately private equity firms and banks are again buying RIA firms.
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Summary: This past year was an explosive one for financial adviser technology.Technology vendors, including competing ones, were announcing full-blown integrations, data aggregation and analytics jumped to the top of advisers' to-do lists, and institution after institution either picked up or announced a robo-adviser platform in the making for its adviser clients.
