Practice Management

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Growing, running and selling a wealth management practice.

How LinkedIn Helped a Rookie Advisor Land a $35 Million Account

  • May 28, 2015
    blog

    FINRA Checking Up on Advisors' Lifestyles

    If your paycheck is wildly out of whack with your lifestyle, your firm’s compliance department and regulators may come knocking....More
  • May 28, 2015
    blog

    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 resources. How fundamental are motions to dismiss to the legal system? The motion has been a pillar of the legal process since the 13th century! Yet, FINRA thinks it knows better than centuries of Roman, British and United States law....More
  • May 28, 2015
    blog

    Next Regulators Will Be Asking to See Text Messages

    Examiners regularly ask to see email and website records, but that's about to change. Smarsh's CEO predicts in just a few years, reviews of text messages could be commonplace....More
  • May 28, 2015
    The Daily Brief

    Managers Who No Longer Eat Their Own Cooking

    It can be reassuring when an investment manager has skin in the game—putting their own money into the fund they’re managing. Likewise, it is disconcerting to discover they pulled their money out....More

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