Over the last two years in particular, we have witnessed a series of events that have been highly disruptive to a number of retail broker/dealers. From private equity takeovers and bankruptcies, to multimillion-dollar compliance fines and class...
Is your inbox full of invitations to industry conferences? Mine is and my solution to conference invite overload is to start with a wish list of what I want to gain by attending a specific conference. This systematic approach has helped me achieve...
SCOTTSDALE — “I hear you about planning social events for the summer,” stated Roger as he cleared his throat before making his point, “but this is Arizona—it’s 110 degrees in the shade! This place is...
In addition to the private equity investing aggressively in our space, banks have joined the party by offering credit to fund acquisitions. One particular roll-up has secured a $1 billion line of credit to support its market consolidation strategy...
The Department of Labor’s fiduciary rule, released in April, highlights what our affluent research has been telling us for the past decade: The affluent want a professional to oversee the multi-dimensional aspects of their family’s...
