Added on April 2017 in Form an RIA
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Summary: Brokers may have idealistic visions of the benefits of breaking away from their wirehouses to go independent, but they should be extremely cautious before making the move, according to industry executives speaking at a roundtable forum sponsored by Schwab Advisor Services.
Added on March 2017 in Form an RIA
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Summary: Financial advice firms resent getting slapped for the same infraction by several regulators, InvestmentNews writes. But the current state of affairs also means companies are less likely to settle, one attorney tells the publication.
Added on March 2017 in Form an RIA
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Summary: For an RIA, onboarding a wirehouse advisor or advisory team and incorporating them into your firm is an intriguing concept, but seems daunting to most. The biggest question RIAs always have is, “Where do I begin?”
Added on March 2017 in Form an RIA
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Summary: An ex-Merrill Lynch adviser opened a new RIA under Dynasty Financial Partners in the fifth new firm launched through Dynasty’s outsourcing platform this year.Avestar Capital will focus, in part, on cross-border wealth planning, particularly clients with inheritances or investments in both the U.S. and India.
Added on March 2017 in Form an RIA
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Summary: For financial advisors, acting prudently means more than just following rules, Joe Bert writes in Kiplinger. Advisors should aim for a higher level of care for their clients by being guided by principles.
