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Summary: How do some registered investment advisors outperform their peers when it comes to growing their client base and assets? That’s what TD Ameritrade Institutional looked at recently, combing through the past few years’ worth of data, which it had collected through interviews of several hundred advisors.
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Summary: Some of the highest-rolling AUM advisors in the industry — 218 of them, to be exact — traveled to the Ritz-Carlton in Laguna Niguel, California, this week for TD Ameritrade Institutional’s Elite LINC conference. These planners, CEOs and presidents represent firms averaging $1.5 billion in client assets.
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Summary: It’s easy for owner advisors to make mistakes as they work on growing their businesses. Focusing too much on “making money” is on that list.
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Summary: Advisors have no excuse for not taking cybersecurity seriously. They’ve heard about the risks — the potential losses to their reputations and their bottom lines. At the same time, the SEC has publicly detailed its focus areas, such as risk assessment, data loss prevention, vendor management and incident response. What has been less obvious, however, is how examiners evaluate firms to determine whether they pass the test.
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Summary: Practices focused on their client-centric experience have more assets and lower attrition rates than other firms, according to recent industry research.
