Form an RIA
Get answers to your questions; legal, logistics, client retention. Understand the process and learn about your options.
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6 Entrepreneurship Tips for RIAs
From Financial Planning
Added on May 2014 in Form an RIA
1 visitor like this article | Viewed 80 times | 0 comment
Summary: Some RIAs are intentional entrepreneurs and some are accidental ones, as one Los Angeles financial advisor puts it. But both types may need help developing the skills required to build a growing firm. Jonathan Foster, founder of Angeles Wealth Management, calls himself one of the former: He started out in the wirehouse sector, shifted to a series of roles at eTrade, Carson Wealth Management and other RIAs before founding his practice in late 2011.
U.S. SEC Releases Cyber Security Examination Blueprint
From wealthmanagement.com
Added on April 2014 in Form an RIA
1 visitor like this article | Viewed 86 times | 0 comment
Summary: U.S. securities regulators have unveiled a road map that lays out how they plan to make sure Wall Street firms are prepared to detect and prevent cyber security attacks.The nine-page document, posted April 15, contains examples of the questions Securities and Exchange Commission examiners might ask brokerages and asset managers during inspections.
Is the CFP Board Losing Credibility in the Eyes of Advisors?
From wealthmanagement.com
Added on April 2014 in Form an RIA
1 visitor like this article | Viewed 77 times | 0 comment
Summary: While most Certified Financial Planning professionals still respect the spirit and intent of the CFP designation, many believe it is losing its appeal and value in light of recent scandals involving the CFP Board, the certifying and standards-setting organization for Certified Financial Planners.
Happy 10th Birthday, Protocol — and Nice Work!
From Financial Advisor IQ
Added on April 2014 in Form an RIA
1 visitor like this article | Viewed 57 times | 0 comment
Summary: More financial advisors are firm-hopping this year, according to industry experts. By way of explanation, insiders cite last year’s market surge, which left brokers with solid “trailing 12” production numbers and clients with a warm, fuzzy feeling that could make them loyal to their advisors. Fear of impending compensation-disclosure rules may also be prompting brokers to make their moves now. But whatever an advisor’s reason for switching firms, experts agree that doing so is easier than it used to be, thanks to the Protocol for Broker Recruiting, which will be 10 years old this August.
Take the quiz: Are your client review tactics compliant?
From InvestmentNews
Added on April 2014 in Form an RIA
1 visitor like this article | Viewed 67 times | 0 comment
Summary: Now that the SEC has allowed advisers to use third-party client reviews on their websites or social-media pages, it's time to figure out what kinds of uses will run afoul of industry regulators. Test your compliance knowledge with these five client review sharing scenarios to figure out if you're up to speed.
