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.
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.
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...
