Added on October 2014 in Form an RIA
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Summary: Nearly five years after Dodd-Frank became law, a uniform fiduciary standard for advisors in all channels is nowhere in sight. But the lack of progress hasn’t deterred the Financial Planning Coalition from agitating for more accountability in the industry.
Added on October 2014 in M&A Issues
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Summary: Like all too many marriages, advisor teams that often seemed inseparable wind up crumbling and falling apart for a variety of reasons. But often the reasons behind a breakup don’t become fully apparent until the partners explore a move to a new firm.
Added on October 2014 in Form an RIA
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Summary: The majority of investment advisory firms’ main offices are concentrated in a relatively small number of states, with the distribution likely driven by access to financial markets, population and net worth.
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Summary: A majority of Americans nearing retirement are eyeing financial advisors for help with planning for the costs of health care.
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Summary: Custodians, those longtime third-party guardians of customer securities, are launching new products that give traditional registered investment advisers the technology to compete against so-called robo-advisers.
