This issue contains the sixth in a series of first-person articles in which advisor Mike Patton is chronicling his own Road to Independence from employee advisor to fully independent RIA. His first article in the Series, "Plotting Your Course," appeared in April 2007, chronicled his first independent baby steps (Patton continues to write other articles for Investment Advisor on topics as varied as Monte Carlo simulation software and estate planning). The most recent Road article, in June 2008, "Lessons Learned," explored his business philosophy as it has coalesced during independence. All of the Road articles, along with Patton's other features, and his weekly Road blog, are available at InvestmentAdvisor.com.
If you’re thinking of changing broker-dealers, you owe it to yourself to read this article that covers all major aspects of the transition process.
This White Paper outlines the immediate actions firms can take to correct outdated and costly supervision procedures.
As an investment professional, video marketing can be a very powerful tool that you can utilize to enhance your practice.
Sep 20, 2016
This webcast will review the key aspects of the amendments and the steps that funds and intermediaries can take in order to comply with the...
Sep 13, 2016
Nationwide is providing a deeper look into the rule’s implications and a discussion of decisions firms will need to make in order to comply.
Aug 24, 2016
Many affected firms and individuals are well-versed in the complexities of the new rule but still have detailed questions. Others are still familiarizing themselves with...