We now live in a world where anyone with a bank account can be an investor. Gone are the days when thousands of dollars are required to obtain the best possible managed financial services advice. Thanks to the rise in low-cost, easy-access, self...
MINNEAPOLIS — “Just my personal feeling, but I think we’re overloaded on practice management,” sighed John with a grimace, then added, “I feel we’re spending more time on policies and procedures than on finding...
Many wealth managers have spent years, if not decades, of their lives crafting a distinguished image of their practice. Words like “planning,” “trust,” “experience,” “service” and “satisfaction...
As the financial advising industry continues to experience great change, from new regulation like the Department of Labor fiduciary rule to the development of new turnkey technologies, it’s not uncommon for advisors to worry about sustaining...
(Bloomberg Markets) -- Not so long ago, T.F. Meagher worked at a hedge fund. It was a successful hedge fund, too—the $6 billion UBS O’Connor, which was actually gaining assets instead of losing them, unlike so many other hedge...
To avoid the risk of penalties, advisors should complete a thorough review of their social media compliance procedures and risk exposures over the coming year.
Registered Investment Advisors have long used Form ADV to register with the Securities and Exchange Commission and state securities authorities, but starting next year RIAs will face strict new requirements to also report their use of social media...
Registered Investment Advisers have long used Form ADV to register with the Securities and Exchange Commission and state securities authorities, but starting next year RIAs will face strict new requirements to also report their use of social media...
Resplendent with controversy and mudslinging, this election cycle has chided investors into increasing their cash holdings, says a new survey from BlackRock. More than half of investors have decided to only increase their cash holdings and no...
