From Financial Advisor IQ
Added on February 2015 in Form an RIA
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Summary: Advisors who take anything but the most basic client information from one employer to another can get themselves sued. But they may have a bit more leeway with contacts made through social-media outlets like LinkedIn, says The Wall Street Journal.
From Financial Planning
Added on January 2015 in Form an RIA
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Summary: Independent broker-dealers face recruiting and retention challenges, many of which center on hybrid or dually registered RIAs edging toward greater autonomy. A pair of sessions at the FSI OneVoice conference focused on these issues.
From Financial Advisor Magazine
Added on January 2015 in Form an RIA
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Summary: In a joint letter to the Finra Dispute Resolution Task Force sent Wednesday, the groups asked the task force to release information gathered in mandated arbitration disputes and information about the dispute process. The arbitration hearings are frequently the result of complaints filed by investors against advisors, brokers, advisory firms or broker-dealer firms.
From Think Advisor
Added on January 2015 in Form an RIA
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Summary: Insufficient advisor exams, tax-free exchanges of variable annuities, binary options and reverse churning of clients with wrap fee accounts are among the top concerns the Securities and Exchange Commission’s Investor Advocate has in the new year.
From Think Advisor
Added on December 2014 in Form an RIA
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Summary: Here’s how not to impress a banker if you’re a financial advisor seeking capital to build your business:Don’t say your plan is to acquire another advisory firm whose clients are paying a 1% asset management fee and you’ll now double your revenue by charging them the 2% fee you’re charging your clients.
