Added on October 2015 in Form an RIA
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Summary: When you’re running a small business—or even a big one—you’re always looking at efficiencies, and one practice that is the ultimate in creating efficiency is writing policies and procedures manuals.
Added on September 2015 in Form an RIA
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Summary: Back in 2000, when Todd Sanford launched his solo firm, Sanford Financial Services, he knew he wanted eventually turn it into a team-based practice. He studied everything he needed to know to build a team and now, with 14 employees, including himself and two other partners, he’s reached $600 million in assets.
Added on September 2015 in Form an RIA
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Summary: Clients look to their financial services professionals as a resource for their financial needs. Whether it is a broad based conversation about their long-term financial needs, narrowly focused questions regarding their taxes or inquiring about the latest breaking news on CNBC, the financial professional is a trusted source.
Added on September 2015 in Form an RIA
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Summary: Investment advisory contracts (and most contracts, in general) are typically long, laborious and full of legalese. Paid-by-the-word attorneys have to pay for their silk ties somehow, right? If drafted properly, however, such contracts can also be immensely helpful in clarifying roles and responsibilities between the advisor and the client, and will hopefully decrease the likelihood of future disputes due to misinterpretations.
Added on September 2015 in Form an RIA
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Summary:Pressures on compliance professionals at advisory firms and broker-dealers continue to mount as the Securities and Exchange Commission, the Obama administration, the Financial Industry Regulatory Authority and the Department of Labor are gearing up to usher in new requirements.
