From FA Magazine
Added on August 2017 in Join an RIA
0 visitor like this article | Viewed 123 times | 0 comment
Summary: Many advisors have been evaluating their broker-dealer relationships in light of the new requirements the DOL will impose. Big firms like LPL Financial and Raymond James are changing their payout formulas in response to the rule and others are likely to follow
From ThinkAdvisor
0 visitor like this article | Viewed 200 times | 0 comment
Summary: As the calendar flips to August, things tend to slow down in the advisory business, making it a great time to take stock of where you are as a firm with your technology.
From Financial Planning
0 visitor like this article | Viewed 109 times | 0 comment
Summary: BOSTON - Referrals may be the engine that generates net new assets, but too many advisers are afraid to ask for them, according to one expert.
From InvestmentNews
Added on August 2017 in Form an RIA
0 visitor like this article | Viewed 109 times | 0 comment
Summary: Registered investment advisers will have to provide more client account data and social media information in a revised Securities and Exchange Commission registration form that will go into effect this fall.
From OnWallStreet
0 visitor like this article | Viewed 116 times | 0 comment
Summary: Recruiting has been relatively quiet this year – a function, in part, of a major piece of uncertainty. No one is quite sure how regulators will ultimately expect financial advisers to implement the fiduciary rule in their practices. Advisers can't make strategic business decisions if they don't know what the rules of the game are.
