Added on January 2019 in Form an RIA
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Summary: Happy New Year everybody! If you’re using these six phrases, stop before they become 2019’s newest clichés.
Added on January 2019 in Form an RIA
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Summary: Going independent as a Registered Investment Advisor (RIA) is a decision requiring considerable thought and planning. In this second of a three-part series, InvestmentNews Content Strategy Studio explores how one advisor — Reza Zamani, Senior Partner of Steel Peak Wealth Management in Woodland Hills, Calif. — decided to make the move, and how Schwab Advisor ServicesTM not only helped with the transition, but also continues to support Steel Peak's growth.
Added on January 2019 in Form an RIA
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Summary: Fines from the two of the country’s leading financial regulatory bodies are down big. FINRA sanctions dropped from $173.8 million last year to just $64.9 million in 2018, and there were fewer fines overall. This trend was also true of the Securities and Exchange Commission, suggesting that regulators are taking a newly relaxed approach to the rules. Look behind the numbers, however, and the reality is just the opposite.
Added on December 2018 in Form an RIA
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Summary: For advisors, 2018 was all about adapting to major transformation. For firms, it was about the battle for control which left advisors at a crossroads of accepting themselves as agents of their firms or crafting creative ways to break free.
Added on December 2018 in Form an RIA
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Summary: Does your compliance team have the resources it needs to fully meet the SEC’s requirements? Before you quickly answer “yes” to that question, here’s the story of the problems an RIA faced by assuming that compliance costs could be easily reduced.
