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Five Ways Advisers Can Prep for Their First U.S. SEC Exam

Added on January 2014 in Form an RIA
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Summary: The top U.S. securities regulator says its examiners will finally get around to knocking on doors at some of the thousands of investment advisers it has never met, including some waiting for more than a decade for the agency to come calling.

5 Secrets for Client Retention

Added on January 2014 in Form an RIA
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Summary: The first year of an advisors' relationship with a client is the easy part. It's the second, third and fourth years that are much more critical to achieve long-term retention, a new study finds. Other tips from the report: Advisors should also try to work with larger (and older) clients, price their fees wisely; seek out hybrid accounts and try to have more than one account in a household.

 

Minority Clients Want Culturally Diverse Advisory Firms

Added on January 2014 in Form an RIA
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Summary: While Hispanic and African American adults say it’s in the best interest of financial advisory firms to hire more minority  advisors, they are less concerned that their own personal advisor be the same ethnicity or race, according to a new survey by Edward Jones.

How top RIAs transition from business owner to business manager

Added on January 2014 in Form an RIA
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Summary: The growth of the RIA channel can be attributed primarily to the entrepreneurial spirit of financial advisers who decided they wanted to take on the risk/reward scenario of being a business owner in addition to becoming a financial adviser. Many advisers find the RIA model attractive, given the fiduciary construct, the ability to have control, the client experience and the fee-based orientation of the channel.

Does a Brand-New Advisor Need an Office?

Added on January 2014 in Form an RIA
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Summary: For a financial planner launching an independent practice, paying for professional office space can feel almost wasteful. so, Does a brand-new advisor need an office? Nerd’s Eye View says the answer depends on what kind of clientele you aim to attract.

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