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.
Secure the future of your business with customers from the largest generation in history.
Part II in a series of articles on working with ultra-high-net-worth clients from IMCA's Investments & Wealth Monitor takes a look at the biggest trends...
Maximize client retention and promote firm growth by using this 6 step interactive client review process.
Oct 05, 2016
Some broker-dealers have already decided to exit certain lines of business and are sizing up how the rule will impact their IT and compliance budgets....
Sep 21, 2016
Join Eric Ryles, Managing Director at Judy Diamond Associates, for a 60 minute session of mutual fund analysis within the Defined Contribution market. Using...
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.