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Summary: CHICAGO - Your best clients give you cookies at Christmas. They hug you when they see you. They know the names of your children. But they won't give you a referral.
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Summary: Some of the cybersecurity best practices for advisors are smart moves for consumers, too.
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Summary: Defining the “culture” of an advisory firm is important, yes, but turning those vague impulses into what RIA compensation consultant Kelli Cruz calls a “core competency” requires not just hiring the right people, but also compensating them in ways that meet the firm’s needs as well as those of the employee. Not surprising, it’s where most principals of growing firms stumble.
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Summary: No matter how dire some predictions are for small financial advisory firms, clients still prefer to trust humans rather than machines or software, which is likely to keep an important role for the human advisor.
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Summary: As the year heads toward a close, chief compliance officers at many regulated financial firms are preparing to conduct their annual assessments.
