Blogs

Mar 18, 2015

I am Going Independent and Want to Gain Media Exposure

In the midst of conducting at least 100 tasks to go independent, don't forget to put together some press releases and contact local media to gain awareness for your new found firm!....More
Jul 30, 2013

ERISA 2013 Trends - Increased Enforcement, Confusion, Fear, Backlash

As we move into the second half of 2013, let’s take a look at some of the meaningful trends as the new ERISA regulatory requirements take hold. •June 2011: Towers Watson study revealed the following top three items on plan sponsors’ minds for the next two years: 1.Regulatory compliance; 2.Investment volatility; and 3.Vendor service....More
Jun 11, 2012

Career Risk1

It's smart to know your limits. Sometimes "No" is the best answer....More
Jun 16, 2016

Increased Competition, DOL Can't Shake Advisor Optimism

According to Schwab's latest Independent Advisor Outlook Study, most advisors remain optimistic for growth despite increased challenges....More
May 28, 2015

The FINRA Roach Motel: Dismissing a FINRA Arbitration

Motions to dismiss are integral to the court system – they give defendants the opportunity to sidestep hundreds of thousands of dollars in legal fees and unnecessary time defending legally baseless claims. As for the courts, it clears up the docket by allowing judges to only adjudicate legitimate cases, freeing up court time and....More
Jan 18, 2014

Top Insider Trades 1/17/14: MVC, SYRG, RHP, ACSF

Which stocks are getting attention from insiders?....More
Jul 15, 2016

Compliance Is Not Keeping Pace With Advisors' Digital Demands

Firms' processes for digital archiving aren't keeping up with modern communication like text messaging and social media....More
Dec 07, 2015

Charitable Gifts: Date-of-Delivery Rules

The date-of-delivery rules vary—depending on the type of property contributed and how it’s transmitted to the charity....More
Jul 07, 2016

An Unexpected Peril of Going Independent: Employment Claims1

Many independent advisors don’t know what’s involved in hiring employees, and it’s resulting in a fast-growing segment of RIA litigation: employment-related claims....More
Jul 26, 2016

Who’s Happy About the DOL Rule?

Not everyone is dreading the new fiduciary rule, wealth management firms need to embrace innovation to survive and investors are optimistic about emerging markets....More
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