Added on September 2017 in Form an RIA
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Summary: The Financial Industry Regulatory Authority Inc.'s mission is to protect investors from fraud and bad practices. It does this by writing and enforcing rules and regulations governing the nation's 3,700 broker-dealers and the 631,000 brokers who are affiliated with them.
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Summary: For Byron Ellis, hurricanes are old hat. The managing director in United Capital’s The Woodlands office, about half an hour outside Houston, told ThinkAdvisor that Harvey is the fourth or fifth hurricane or tropical storm he’s endured, but it doesn’t matter how a storm is rated. “Both can be equally as bad, whether it’s rain, or electricity is out, trees getting blown down,” he said.
Added on September 2017 in Form an RIA
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Summary: A cofounder of Graystone Consulting, Morgan Stanley’s wealth management business that caters to institutions and wealthy individuals, has left the group to start his own independent advisory firm.
Added on August 2017 in M&A Issues
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Summary: It’s coming to pass as industry watchers have predicted time and again through the last twenty years. With baby-boomer financial advisors surging into and past traditional retirement age their RIAs are changing hands at an ever-faster pace. But some experts warn this activity comes at a steep price – not least in emotional terms for the seller.
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Summary: Consumers expect a personalized marketplace. But why is it that retail and service businesses are comfortable categorizing their grocery stores and hotels, while we in the financial-advice industry shy away from making similar categorical offerings to our clients? The future of retail, technology and marketing is personalized—and your firm's service offering should be too.
