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Summary: Wes Stillman is the chief executive officer of RightSize Solutions, a provider of cybersecurity and technology management services for wealth management firms. We have asked Wes to share a few tips on cybersecurity for RIAs:
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Summary: As discussed in our previous posts (See Part 1 and Part 2), many wirehouse advisors have concluded that while their current employment situation clearly has its faults, for the most part, they have found a way to make it work. Many advisors decide that for the amount of money they earn, they can live with the inherent headaches associated with their current employer.
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Summary: Day in and day out, I talk to advisors about making the move to the independent registered investment advisor (“RIA”) channel. I’ve seen advisors from all different backgrounds and business models make the transition to the independent RIA model and never look back.
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Summary: Certified financial planners, including those working at broker-dealers, would have to adhere to a fiduciary standard at all times under new rules proposed by the organization that grants the designation.
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Summary: [SLIDESHOW] For an RIA, no business-to-business relationship is more important than the one the firm has with its custodian. The bedrock of trust clients place with their adviser is embedded in the services the custodian provides: protecting assets, servicing accounts and ensuring compliance with government regulations.
