Added on August 2016 in Form an RIA
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Summary: Ryon Beyer recalls spending a week of 17-hour days gathering information that Securities and Exchange Commission examiners wanted in preparation for a routine inspection at the first advisory firm he worked for 14 years ago.
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Summary: There is always a dark side to success. The RIA market has been booming for years, consistently taking assets away from the traditional bank/wirehouse community, and now manages nearly $3 trillion in assets.
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Summary: The path of becoming a financial advisor is viewed as a very entrepreneurial one, starting from scratch and building a client base who pay you for services, growing over time into a business that can generate substantial income for the advisor/owner/founder. The growing trend of independent advisors, whether in RIA or broker-dealer form, just further emphasizes the entrepreneurial spirit of the financial advisor community, and their desire to build businesses of value… or at least, a practice that can generate substantial ongoing income throughout their working years.
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Summary: Over time, the pain of staying in a wirehouse environment can outweigh apprehension over the work it takes to leave, two veteran advisers told participants in a Financial Planning webinar covering the challenges of going independent.
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Summary: Salesforce, the San Francisco-based client relationship management software provider, has added a suite of compliance features to assist advisers in satisfying the requirements of the Department of Labor's fiduciary rule.
