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Summary: With new innovations happening each day, it can be difficult for advisors to find technology that balances their need to maximize their efficiency and brand with the need to perform routine due diligence.
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Summary: The Securities and Exchange Commission is warning investment advisory firms to devote adequate resources to compliance, which has spurred a debate about whether attitude or money is more important.
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Summary: We’re often asked how to incorporate non-producing team members into the team’s marketing efforts. It’s a great idea, but only if done the right way. We’ve seen countless examples of advisors attempting to delegate client acquisition responsibilities in full. Never, we repeat never, does this work.
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Summary: Sharing a client relationship with another advisor is as appealing as sharing your toothbrush. But relationship sharing is what can stop clients from terminated you and keep the ACAT forms away.
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Summary: When advisors make the move to independence and launch their own firms, they often struggle to select the color, imagery and visual elements. The message is the medium, right? Right. But that message comprises much, much more than words.
