In this section we present key findings and insights from our survey questions on practice management and operations, including services offered, the most time-consuming activities, professional designations, custody relationships and documentation trends.
Though 2009 comp was way off from 2008, on average, financial advisors' compensation has, for the most part, returned to pre-crash levels. Expectations are high for a resumption of growth for 2010.
Apparently not all advisors and their clients have been following the developments leading to the much anticipated Wall Street reform package Congress released last Friday. In fact, overall advisors and investors are still confused about what the...
Under reform legislation, RIAs with less than $100 million in assets will no longer be regulated by the SEC. State regulators will step in. Will states be more successful than the SEC?
When the time comes for your client to sell or gift shares of stock in a privately held company, how do you determine the value? Valuation experts use various approaches to arrive at a company's value and come up with a conclusion. Often that...
Woodbury Financial Services, a subsidiary of The Hartford Financial Services Group, hired Albert Johnson as chief compliance officer of broker/dealer services. Prior to joining Woodbury, Johnson most recently served as chief compliance officer of...
Mergers and acquisitions seem to be crawling back to the top of RIA principals’ to-do lists this year, as the first quarter’s numbers show record activity. What is your financial advisory practice worth?
