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Summary: Go to any seminar on marketing and one of the top suggestions on becoming an elite adviser is to develop a niche. Doctors, airline pilots, teachers, golf nuts, tech employees – the niche possibilities are endless. Having a niche can create efficiency, simplify marketing and make you an expert in the eyes of a well-defined cohort. But is a niche based on what people do – and not who they are – really a wise choice?
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Summary: As robo technology proliferates and evolves, regulators are keeping pace – and firms and advisers making use of such tools will have to follow suit, industry executives say.
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Summary: I’ve decided to leave my broker-dealer and start my own investment advisory company. I’m not ready to let my firm know, as I’ve heard it can take several months to get approved and I’m pretty sure they’ll terminate me once I tell them. However, I’m worried that, if I don’t tell them, they will mark up my U5 by saying I failed to advise them that I was engaging in an outside business activity. Can I begin to register as an RIA without letting my firm know?
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Summary: Most financial planners are understandably loath to crack open a client’s legal documents, considering them outside their area of expertise.But in every estate planning document there are a number of points that planners can identify to review with clients. Here's what they should look for...
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Summary: My wife and I launched PFI Advisors on September 25th, 2015. One month and one day later, our 6-month old daughter, Layla, had her first seizure. She was admitted into the hospital the next day, October 27th, and stayed there for 6 weeks. It turns out that her brain never fully developed, which has led to seizures, spasms, feeding and digestion issues, vision issues, hearing issues, muscle-development issues, and of course, brain development issues.
