Blogs

Oct 31, 2014

Half of RIAs Looking to Make a Deal

About half of RIAs are looking to make at least one acquisition this year, with succession planning and scalability acting as the biggest drivers....More
Jun 04, 2014

How Can I Build a Community With My Clients?

By creating a tigh knit community of your clients and your centers of influence, you have the ability to retain assets, increase referrals and generate new business. Find out how!....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 Risk

It's smart to know your limits. Sometimes "No" is the best answer....More
Oct 03, 2014

RIAs “Passing” on Diversity

Most RIAs either have no knowledge about their firms' diversity programs or say that their programs are satisfactory, according to a recent survey by Schwab Advisor Services....More
Apr 28, 2014

FINRA Hits The Rep While He is Down

FINRA, by its new rule, is again hurting the broker....More
Jan 18, 2014

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

Which stocks are getting attention from insiders?....More
Oct 27, 2014

Thanking Volunteers: Specimen Letter

Conrad Teitell offers a sample letter to inform your clients who volunteer for charities of the various tax breaks available to them....More
Oct 23, 2014

Fiduciary Advocates: We Need a New Strategy

The brokerage industry outspends RIAs 50 to one in lobbying dollars, and the press hasn't done a good job covering the fiduciary debate, advocates for the fiduciary standard said during NAPFA's fall conference today. The industry needs a new strategy....More
Oct 31, 2014

The Daily Brief: Halloween Money Tricks

Bloomberg Businessweek broke down the National Retail Federation's data on how much American consumers spend on Halloween. Most frightening? The $67.7 billion total spent over the past decade....More
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