From wealthmanagement.com
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Summary: WASHINGTON -- FINRA may have dropped its lobbying campaign for legislation to expand oversight of investment advisors, but the industry regulator is interested in a new proposal from one SEC commissioner to beef up examinations of the RIA industry.
From wealthmanagement.com
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Summary: Living and working in Harrison, Ark. (population: 15,000), Ken Savells took an appropriately small town approach to marketing. “I got on the phone and then I met with people,” says Savells, who started his practice Centurion Financial Services in 1999. “I just know a lot of folks in town. It was all through face-to-face relationships.” Savells continued following that tack until about four years ago, when he found he had to spend a lot more time serving clients than gathering new ones.
From InvestmentNews
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Summary: Financial advisers who can help clients with the overwhelming job of caregiving will create tremendous loyalty, a client and "semi-professional patient" told advisers at the NAPFA conference in Salt Lake City on Thursday.
From Financial Planning
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Summary: Planners gathered in Salt Lake City last week for NAPFA's annual spring conference, hearing the latest thinking on behavioral finance, student debt, practice management and more. Here are a few of the smartest things that Financial Planning's staff and contributors heard at the conference.
From Financial Planning
Added on May 2014 in M&A Issues
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Summary: Nancy Nelson never planned on selling her practice. "I thought my clients would gradually die, I wouldn't take their kids and my practice would just go down and down," the Olympia, Wash., planner told a crowded room at NAPFA's annual conference. Two things changed Nelson's thinking, she told listeners during a panel on selling a solo firm: She watched a friend sell her solo practice for a lot of money. Then, practically overnight, she wanted out herself.
