Added on September 2014 in Form an RIA
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Summary: As regulatory reporting demands increase, software providers are coming up with new products to help broker-dealers and advisory firms comply.
Added on September 2014 in Form an RIA
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Summary: When a financial-advice practice becomes a business, the seemingly subtle semantic shift can actually herald a big increase in litigation risk. No longer are advisors simply serving clients on their own or as part of a team. Rather, they own a real asset composed of business processes, staff and investment strategies. But along with this asset’s rewards and autonomy comes the notion of business risk, including the possibility of getting sued. Financial advisors should watch for these three emerging litigation threats.
Added on September 2014 in M&A Issues
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Summary: Mergers and acquisitions involving registered investment advisors (RIA) continued at a brisk pace during the first half of 2014, indicating a healthy RIA space that is ripe for continued growth, according to research released Wednesday by Schwab Advisor Services.
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Summary: So yes, financial advisors can subliminally program clients to prospect for them. The seeds you’re planting will take the form of well-timed words planted in the mind of a client. Let’s take a look at how these seeds (carefully crafted words) can be planted.
Added on September 2014 in Form an RIA
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Summary: Investment advisory firms would pay anywhere from a couple thousand to millions of dollars annually in user fees to fund Securities and Exchange Commission exams, if the agency uses that approach to increase its adviser oversight, according to a new study released Wednesday.
