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Summary: The path of becoming a financial advisor is viewed as a very entrepreneurial one, starting from scratch and building a client base who pay you for services, growing over time into a business that can generate substantial income for the advisor/owner/founder. The growing trend of independent advisors, whether in RIA or broker-dealer form, just further emphasizes the entrepreneurial spirit of the financial advisor community, and their desire to build businesses of value… or at least, a practice that can generate substantial ongoing income throughout their working years.
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Summary: Over time, the pain of staying in a wirehouse environment can outweigh apprehension over the work it takes to leave, two veteran advisers told participants in a Financial Planning webinar covering the challenges of going independent.
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Summary: Salesforce, the San Francisco-based client relationship management software provider, has added a suite of compliance features to assist advisers in satisfying the requirements of the Department of Labor's fiduciary rule.
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Summary: Risk management software is getting center stage these days, especially with the Department of Labor's fiduciary rule, which requires all advisers act in their clients' best interests on retirement accounts. Financial advisers will need to put extra effort into ensuring their clients' accounts are properly allocated, and that their portfolios match their risk tolerance. Here is a chart breaking down risk management software for financial advisers.
