Under the RIA hybrid model, a financial advisor is affiliated with a broker-dealer for their commissionable business and conducts fee-based business through an outside RIA. Maintaining a broker-dealer affiliation allows advisors to provide clients...
Over the last few months the FINRA recruitment/broker disclosure discussion, and documents, have come into closer focus. It seems to me that the larger member firms are a bit too close to the process.
A Guide to Strategic Networking
Almost every advisor must come up with a valuation for their firm at some time or another—whether it’s to sell or merge with another firm. And for some, it’s more of an art than a science. How do you put a price on your firm? The...
Are you at the right firm? Model? Type?
In the first of a three-part series, Dr. Daniel Crosby examines why simplicity impacts the quality of the investment experience.
Novel and unexpected findings have been the biggest reason behind the success of behavioral finance, but can it remain relevant?
