The SEC release asked firms to keep an eye on business continuity, employee supervision and the protection of sensitive investor information during the pandemic.
By tackling the largest and most time-consuming tasks first, we believe advisors can launch their RIA in four to six months.
Advisor Esther Szabo braved her way through a very scary and uncertain time about six years ago, when her late husband went into cardiac arrest in the middle of their Russian vacation.
Many advisors wonder if they’ve reached an age when independence is just a bridge too far.
