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Summary: There are 3 things a rider does when he jumps a fence: look up, heels down and release. Many advisors should be thinking about their next jump whether it’s an internal succession or a sale to an outside firm. The exit struggle exists because advisors can’t picture what’s beyond the jump that is succession.
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Summary: Charles Schwab became the first custodian to release it’s own automated asset allocation platform for retail investors on Monday. The launch of Intelligent Portfolios ignited a debate over Schwab’s “no fees” claim and the impact the so-called “robo-advisor” would have on the financial technology sector as a whole.
Added on March 2015 in Form an RIA
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Summary: The Securities and Exchange Commission is not fulfilling its duty to protect retail investors, particularly in how it regulates financial advisers, a number of consumer groups asserted in a letter to the agency.
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Summary: Don’t try to recruit millennials by emphasizing the money they'll make or the firm's reputation.Those things don't matter much to them, said Amanda Smith, a senior vice president and head of marketing at National Financial, during a presentation at BISA's 2015 annual convention.
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Summary: For the financial-market research firm, this helps explain a “surge” in HNW investors’ use of online brokers — a trend augmented, Cerulli’s Donnie Ethier says in a press release, by the channel’s improved HNW capabilities in recent years and their favor with “younger, tech-savvy wealth creators.”
