Added on December 2017 in Form an RIA
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Summary: An upcoming Finra rule proposal would make it easier for brokerages to determine whether their representatives are engaging in harmful activities away from the office.
Added on December 2017 in Form an RIA
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Summary: Nearly two-thirds of RIAs are offering fee discounts, according to the 2017 Fidelity RIA Benchmarking Study. But, it goes on to caution, there are good and bad reasons for advisors to cut their stated price.
Added on December 2017 in Form an RIA
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Summary: [Podcast] Advisors with their sights set on the highest level of freedom and flexibility, plus the maximum ability to build long-term enterprise value, owe it to themselves to take a closer look at the RIA model.
Added on December 2017 in Form an RIA
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Summary: While debate surrounding the role of technology in wealth management has traditionally pitted man against machine, as investors begin adopting new technology, a third option has since emerged: the hybrid advisor model.
Added on December 2017 in Form an RIA
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Summary: Adviser awareness about cybersecurity has increased substantially over the past two years, and most firms have either established or are in the process of establishing written policies and procedures for protecting investor information, the Financial Industry Regulatory Authority noted Wednesday in a report detailing findings from a recent self-examination.
