Phoenix: “We recognize the importance of continually improving our service model,” Robert said. “But there are only so many hours in a day, and we can’t afford to be continually hiring new support personnel to meet the service expectations of our...
On Wednesday, the SEC proposed open-ended rules aimed at reigning in incentive comp. The rules, which stem from Section 956 of the Dodd-Frank Act, would prohibit incentive-based compensation arrangements that encourage “inappropriate”...
Boutique one-office shops still dominate the RIA industry. But a number of RIA firms are now expanding aggressively with an eye to creating a national footprint.
Referrals may be the best way to pick up new clients, but seminars still have their virtues. Here are a few ways to freshen up an old standby.
In an effort to get a competitive edge, custodians are increasingly turning to advisors to hear what's working, and what's not.
Independents need to consider many factors when selecting their own technology — including how well it integrates with custodial software and tools.
Burton Malkiel, Princeton University professor and author, “A Random Walk Down Wall Street”
Every broker/dealer describes itself as advisor centric. It has, in fact, become a cliché.
Little guys are having a harder time surviving in the IBD world.
