Added on January 2016 in Form an RIA
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Summary: It’s not easy being one of the largest RIAs in the country, even with RIA AUM growth outpacing that of wirehouses. Finding the right talent in a small pool of the most qualified advisors is tough — especially when you can’t dangle a name brand like Credit Suisse or J.P. Morgan before them.
Added on January 2016 in Form an RIA
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Summary: Before becoming managing partners of Atlanta-based Compass Wealth Management, Robert Amato and Beau Davis knew that no matter how high they climbed in the broker-dealer model, they’d still be working for someone else. They chose another path. They chose to build something all their own by forming an RIA.
Added on January 2016 in Form an RIA
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Summary: Securities regulators often use enforcement cases to highlight areas of the law they want financial professionals to be extra vigilant about avoiding. Here are seven compliance messages that rang loud and clear in 2015 and will likely be heard throughout the new year.
Added on December 2015 in Form an RIA
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Summary: Fiduciary duty could finally come to fruition next year.The Labor Department is poised to release a final rule in the spring that would require financial advisers to act in the best interests of their clients when dealing with retirement accounts. Meanwhile, the Securities and Exchange Commission has put a similar proposal for retail investment advice on its regulatory agenda.
Added on December 2015 in Form an RIA
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Summary: Christopher Bray founded Ariel Capital Advisors nearly two years ago, naming the Florida-based advisory firm after his 4-year-old daughter. Now he is being sued by Ariel Investments, a $10 billion Chicago-based mutual fund company, for allegedly infringing on its trademark.
