Added on September 2017 in Form an RIA
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Summary: New financial advisers are finding strange discrepancies between states in terms of the way regulators are allowing them to charge their clients fees for services.
Added on August 2017 in Form an RIA
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Summary: New RIA registrations each year have more than doubled since the start of the millennium, according to an exclusive Financial Planning review of state notice filings. The same period has also seen explosive growth in RIAs’ state registrations, a sign that RIAs are expanding their national footprint.
Added on August 2017 in Other Ideas
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Summary: I invite you to review your firm’s website through the eyes of that next client you would like to attract. Ask yourself, “Is the focus on us, or on the person with whom I want to engage?” Too often when I evaluate financial advisors’ websites, the story is all “About Us” right from the first word. You can forget about the S&P 500 charts, market summaries, calculators, and weather forecasts (really?!), too..
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Summary: There’s no way around it. Cybersecurity is a never-ending process for both financial institutions and individual consumers.
Added on August 2017 in Form an RIA
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Summary: On August 7, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) released their observations of cybersecurity preparedness from the examinations of 75 SEC registered firms, including registered investment advisors (“RIAs”).
