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Summary: When I look back over his past year I see a huge shift in all of business, especially in financial advising and consulting, on being more authentic. Professionally and personally -and I believe it’s going to be big.
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Summary:Put simply, professional knowledge – which exists broadly – is far from the sole deciding factor for many clients when they choose their financial advisor, or in determining their satisfaction level with the advisor relationship. More often than not, personal likability and trustworthiness rate much higher than professional knowledge alone.
Added on January 2015 in M&A Issues
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Summary: Propelled by breakaway brokers, interest from banks and wealth management success, the growth forecast for advisory firms this year is robust, according to one of the industry's leading investment bankers.
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Summary: You’re smart, and you do what’s best for your clients. So you didn’t wait to find a successor. You got on the ball and found one, a promising younger FA. Now she’s installed at your firm and learning what it takes to be boss.
Added on January 2015 in Form an RIA
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Summary: In a joint letter to the Finra Dispute Resolution Task Force sent Wednesday, the groups asked the task force to release information gathered in mandated arbitration disputes and information about the dispute process. The arbitration hearings are frequently the result of complaints filed by investors against advisors, brokers, advisory firms or broker-dealer firms.
