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Summary: The rise of technology is creating a new service model for financial planning – the “virtual” advisor, who uses web-based tools and technology to serve clients, regardless of where the client (or advisor) happens to be.
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Summary: The landscape for a financial advisor or team that is contemplating independence is abundant with opportunity. The newest development to take shape in this niche is the size of the teams moving to the registered investment advisor arena.
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Summary: About 52% of advisers have had internal staff or a third party run their firms through a simulated examination of the kind that the Securities and Exchange Commission conducts periodically of advisers, according to a survey by the Investment Adviser Association in April and May.
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Summary: During a Financial Planning webinar addressing audit readiness, Brian Hamburger, founder and president of MarketCounsel, a leading business and regulatory compliance firm, and Robert Molinari, vice president of compliance at Commonwealth Financial Network, laid out some best practices for preparing for regulatory audits
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Summary: When financial advisors choose independence and launch a registered investment advisor, despite the long-term rewards, in the short term, they are operating a business with no revenue and significant expenses.
