Branch-office managers at high risk of 'failure to supervise' infractions

If you're merging your RIA firm with another, you've probably invested significant time, energy, and resources into preparing for the merge. However, the hard work doesn't stop once the merger happens. In fact, there's substantial...

More and more RIA firms are realizing that merging with another firm is an excellent way to grow both practices, streamline processes, and provide better service to clients. According to a report from Schwab Advisor Services, there were 54...

Boston: “You continually talk about the importance of asking questions, do you have a list of questions in any of your materials?” asked Taylor during a break in our Rainmaking workshop...

As the owner of a successful financial advisory practice, one of the most daunting challenges you will undertake is succession planning for your business. The advisory business is more sophisticated than it was just a few years ago and determining...

Industry coaches are always stressing the power of referrals. And true, passive referrals from existing clients was the top marketing method for attracting new clients in 2013, according to WealthManagement.com’s AdvisorBenchmarking RIA...