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Summary: BOSTON - Referrals may be the engine that generates net new assets, but too many advisers are afraid to ask for them, according to one expert.
Added on August 2017 in Form an RIA
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Summary: Registered investment advisers will have to provide more client account data and social media information in a revised Securities and Exchange Commission registration form that will go into effect this fall.
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Summary: Recruiting has been relatively quiet this year – a function, in part, of a major piece of uncertainty. No one is quite sure how regulators will ultimately expect financial advisers to implement the fiduciary rule in their practices. Advisers can't make strategic business decisions if they don't know what the rules of the game are.
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Summary: When a client proves to be a poor fit for a planning practice, a smart planner lets that client go. An even smarter planner screens potential clients before committing.
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Summary: I got a call the other day from an owner-advisor who wanted me to work with him. He told me a story about his mother (now deceased) who was a doctor and had selflessly helped many people during her life, including taking in foster children over the years. She’d had little concern for her own happiness, with one exception: She’d bought a beach house where she’d spend time whenever she could. But she’d had to sell it to make ends meet after her retirement.
