Added on February 2014 in Join an RIA
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Summary: As the financial services industry continues to evolve with different channels of back-office support, smaller practices have greater opportunities for ownership, the ability to customize the way they serve their clients as well as greater financial rewards.
Added on February 2014 in Join an RIA
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Summary: With more wirehouse and regional advisors seeking greater independence, control, autonomy, superior economics, and the ability to customize the client service experience, independent models have been big winners.
Added on February 2014 in Join an RIA
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Summary: There is much to be written about all of the technology scoops at the recent T3 Technology Tools for Today conference. Yet what I found most exciting was the FAStech Cup competition. (For those who don't know, FAStech is an integrated technology platform, supported by top industry firms, provided free of charge to universities’ financial planning programs.) This first annual competition is the first ever financial planning industry technology competition.
Added on February 2014 in Join an RIA
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Summary: Independent broker-dealers, take notice: The largest custodian for independent advisers is gunning for you. Speaking Wednesday at a business meeting, the executive in charge of Schwab Advisor Services said that independent broker-dealers are less likely than in the past to be seen as a necessary stepping stone for wirehouse exiles seeking independence.
Added on February 2014 in Join an RIA
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Summary: Until last month, Timothy B. Kneen and Clayton E. Hartman were locked in what some might consider a textbook example of “golden handcuffs.”The longtime brokers still owed their employer, UBS Wealth Management Americas Inc., forgivable loans that they received as part of their compensation. And their deferred compensation wasn't yet within reach. But those financial restraints didn't prevent the brokers and their team of more than a dozen people from leaving the wirehouse and starting IFM Capital Advisors with offices in Colorado and South Dakota.
