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Summary: Because hiring is not easy, and retaining good employees can be even more difficult, we tapped the insights of Caleb Brown, author of the new book "Successful Hiring for Financial Planners: The Human Capital Advantage."
Added on December 2018 in Form an RIA
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Summary: Does your compliance team have the resources it needs to fully meet the SEC’s requirements? Before you quickly answer “yes” to that question, here’s the story of the problems an RIA faced by assuming that compliance costs could be easily reduced.
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Summary: I’ve been in the investment advisory business for a long time. I’ve been through a number of significant market ups and downs and have always managed to work with my clients in a way that shows them what I am doing, gives them confidence and helps them approach any changes with calm.
Added on December 2018 in M&A Issues
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Summary: 29 year old CFP® with 7 years of experience within wirehouse. I currently run my own book of business and am looking to get a better understanding of what opportunities may exist. I am intentional about the relationships I maintain and how I'm building my practice. My goal is to ensure I'm doing everything I can and should be for my clients and for my own career advancement.
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Summary: Getting through a crisis situation can be a real test for a new business. This past summer, we faced the biggest challenge in our four-year history: an SEC audit.
