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Summary: Innovative technology can help transform advisors' workflow — but adoption takes time.
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Summary: The Securities and Exchange Commission’s exam division is warning registered investment advisors to review their electronic communication procedures, as recent exams showed advisors failed to ensure compliance with SEC rules.
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Summary: There are two critical components for effective COI relationships—personal connection AND structure. We often talk about getting personal with your CPA and attorney partners. In our opinion, it’s the most overlooked component of the relationship. But for today, let’s shift focus to the structural piece of this puzzle.
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Summary: Getting through a crisis situation can be a real test for a new business. This past summer, we faced the biggest challenge in our four-year history: an SEC audit.
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Summary: Let’s face it, just starting your firm took a lot of hard work and it certainly doesn’t get any easier as you’re continuing to grow it. You are responsible for everything, the decisions, the revenue, and, of course, the expenses. Basically, it’s all on your shoulders and failure is not an option.
