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Summary: Day in and day out, I talk to advisors about making the move to the independent registered investment advisor (“RIA”) channel. I’ve seen advisors from all different backgrounds and business models make the transition to the independent RIA model and never look back.
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Summary: Certified financial planners, including those working at broker-dealers, would have to adhere to a fiduciary standard at all times under new rules proposed by the organization that grants the designation.
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Summary: [SLIDESHOW] For an RIA, no business-to-business relationship is more important than the one the firm has with its custodian. The bedrock of trust clients place with their adviser is embedded in the services the custodian provides: protecting assets, servicing accounts and ensuring compliance with government regulations.
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Summary: Starting your own practice takes time, money … and some fraught decisions, according to seven advisers familiar with the experience.
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Summary: Dynasty Financial Partners won the account of yet another $1-billion-plus breakaway team but its first poach of the esteemed Goldman Sachs & Co. The New York-based firm landed the new team, DG Wealth Partners, which consists primarily David Darby, 43, a magna cum laude Brown University graduate who worked at Goldman Sachs Private Wealth Management for 21 years, most recently from its Palm Beach office.
