Added on April 2015 in Form an RIA
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Summary: The Securities and Exchange Commission should develop a database that compiles information about securities law violations and is easy to use for investors, especially the elderly, an advisory group said Thursday.
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Summary: For the most part, the interns have been smart, dedicated and a joy to work with. Sure we had a few that we didn't think made a good fit, but it was easy to part company because there was no expectation of longer-term employment. Here are a few tips we learned that can help you find just the right intern.
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Summary: Fidelity Clearing and Custody announced a new partnership Wednesday with FirstPoint Financial, a subsidiary of Mariner Holdings that specializes in wealth management for emerging affluent investors, to help registered investment advisors profitably serve younger and less wealthy clients.
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Summary: Have you ever heard the expression, "You are the average of the five people you spend the most time with?" I decided I wanted to spend more time with top achievers -- so I started a podcast that let me interview them about topics at the intersection of business, investing and life.
Added on April 2015 in M&A Issues
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Summary: For the past decade, the growth of advisory firms has led to a wave of hiring new planners, many of whom are ultimately anticipated to be the successor to the founding owner. And as time has passed, more and more are reaching the moment of transition when the successor actually does begin to buy into the practice; in fact, even in firms where the owners aren’t looking to exit anytime soon, it is increasingly common to add “junior partners” who will help to grow the firm going forward.
