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Summary: As advisers continue to break away from the largest securities firms and registered investment advisory firms become larger, more of these independent RIAs are setting up investment committees.
Added on April 2016 in Form an RIA
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Summary: Although not completely obvious, there are many similarities between the sport of mixed martial arts (MMA) and the move to independence by financial advisors.
Added on April 2016 in Form an RIA
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Summary: Robo-advisor platforms may well be attractive to advisors seeking new ways to cut costs, streamline their asset allocation models or engage with younger clients. But some industry lawyers warn of a burgeoning tide of liability for advisors who incorrectly use these dispassionate tools.
Added on April 2016 in Form an RIA
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Summary: If you’re a Registered Rep, then you likely know FINRA has the BrokerCheck utility on their website. The BrokerCheck allows consumers to learn more about a registered rep and make sure they are in good standing. It’s like the BBB for broker backgrounds. Well, it’s coming to your website now too.
Added on April 2016 in Form an RIA
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Summary: Last week, the Department of Labor issued the final version of a sweeping regulation for the industry that requires anyone providing investment advice for retirement accounts to serve as a fiduciary and act solely in the best interests of clients.
