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Summary: I have spoken on social media and PR at two recent conferences: an FPA of Massachusetts media training and Barron’s Top Independent Advisors Summit. In doing so, I realized two things – one, most advisors want more positive publicity, and two, most advisors are still trying to figure out social media.
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.
