The biggest threat to the independent broker/dealer space is the number of advisors going fee-only. Here are some of the costs and considerations for advisors taking that step.
The RIA space will likely see a resurgence in M&A activity in the second half of this year, while 2021 could be the biggest year yet, said M&A players, speaking at Riskalyze's Fearless Week virtual conference.
The SEC release asked firms to keep an eye on business continuity, employee supervision and the protection of sensitive investor information during the pandemic.
The advisors at Equitrust Financial Group felt it would be in clients’ best interest to affiliate with a publicly traded b/d with self-clearing capabilities.
Advisors could have better prepared clients for the chaos by relaying the inevitability of unforeseen events and finding ways to mitigate their impact, according to panelists at Riskalyze Fearless Week.
