If the events of the last 15 years post 9/11 have taught us anything, it's that we live in a highly uncertain world where everything from natural calamities to man-made tragedies can — and unfortunately all too frequently do &mdash...

Business continuity and disaster planning has been a focus of the Securities and Exchange Commission in its examinations of Registered Investment Advisors in recent years, following the impact of disasters such as Hurricane Sandy on advisors in...

BOSTON — “I’m not convinced my firm understands the importance of giving us flexibility over pricing,” stated Harold with a sigh, then filled in the details, “I just lost a client over fees, claimed we were charging...

The record keeping industry’s competitive challenges are well known: Lower fees, increasing regulatory requirements and higher technology costs are frequently cited. One result from these pressures is consolidation, and it’s estimated...

The ultimate goal for many advisors who own their own firm is to eventually sell their business for a profit. While there are countless ways to increase a firm’s value before a sale in order to receive the most money possible, advisors can...

There’s a common misconception that smaller RIA firms, those under $300 million in assets under management, are on a path to extinction. The general message is, if your small firm isn’t dead yet, it will be soon...