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This blind spot is putting financial advisors and their clients at risk

Added on July 2019 in Plan for the Future
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Summary: The Securities and Exchange Commission, as well as state securities regulators, want to know about your firm’s cybersecurity practices. Not only are you responsible for safeguarding your firm’s networks and devices, but you must perform due diligence on your vendors and establish policies for employees.

How employee stock ownership becomes a succession plan

Added on July 2019 in Plan for the Future
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Summary: For Joe Reeves and Ron Butt, co-founders of Louisville, Kent.-based ARGI, the pursuit of a viable succession plan for their $2.6 billion financial planning firm was the original objective, but the ESOP provided the added bonus of giving all employees a potential stake in the RIA's ongoing success.

Voices Are firms doing enough to keep top talent?

Added on July 2019 in Plan for the Future
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Summary: In my conversations with advisors and firm owners over the past year, I’ve heard a repeated lament: There is too much competition for top talent. Rivals are snapping up the strongest candidates, offering more money or more flexibility. Sometimes firms lose out because they are too slow to make an offer.

Voices Should you close your planning practice to new clients?

Added on June 2019 in Plan for the Future
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Summary: When I changed careers from medicine to financial planning in 2004, my big idea was to take care of my closest 20 physician friends — and not work too hard doing it. ‚Äč

Hire new college grads, and help plan for the future of your firm

Added on June 2019 in Plan for the Future
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Summary: Do you have a plan for the future of your firm? Mentoring new college grads is a great answer.

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