Added on February 2014 in Form an RIA
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Summary: Specifics of the SEC's Office of Compliance Inspections and Examinations (OCIE) program, called the "Never-Before Examined Initiative" and aimed at targeting unexamined advisors that have been registered with the SEC for three or more years, come just over a month after the agency announced that this issue would be an examination priority in 2014.
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Summary: The biggest reason why most wealth management firms have no viable succession plan is because of what it means personally for their owners. It’s a passage that marks the end of one phase of life and forces owners to recognize their own mortality. And who even wants to contemplate that?
Added on February 2014 in Form an RIA
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Summary: As the world of financial advice continues to grow and evolve, advisory firms are increasingly going through a series of consistent stages in the growth of their firm.
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Summary: The most successful financial advisers take their time picking up new technology, focus on the "client experience" and deemphasize back-office trades, according to a new study from Fidelity Investments.
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Summary: At its heart, an advisory firm is a people business: The value delivered is driven almost entirely by its members. Just as advisors would look for the most appropriate assets to deliver on a client's investment objective, firm owners need to understand that the way you staff and motivate your practice will drive your firm's performance.
