Are You an ‘Internet Adviser?’ A 10-Year-Old SEC Rule Predated Robo-Advisors
SEC Rule 203A-2(e) governs registration requirements for advisors delivering advice by the Internet. Here’s how to stay compliant with this foresighted rule.
Want Referrals for New Clients? Get Them on the Web
A Paladin Registry survey makes a pretty compelling case that there is plenty of opportunity for independent advisors to get clients on the Web.
Want Clients to Trust You? You’ve Got 0.05 Seconds
A new study shows trust decisions can be automatically triggered by the slightest glance. What's an advisor to do?
Openshaw to Lead Financial Women’s Association
Social media expert was most recently president of Finect, a platform for advsiors.
Wells Fargo Names Digital Chief, Shares IT Growth Plans
Wells Fargo Advisors says it is “making its most significant technology investment in a decade.”
Hearsay Social to Support LinkedIn’s Sales Navigator
Social-media focused sellers are 51% more likely to beat their quota than traditional sellers, according to one survey.
Client Calendars Show Clients How Much You Do for Them
Client service calendars let your clients know that you and your firm are actively taking care of their finances throughout the year.
The Case for a New Advisor Designation: ‘Fiduciary-Only' Advisors
“Fiduciary-Only” advisors would create a new level of trust between retail investors and advisors — and become the next “powerful marketing tool.”
House Panel Passes Cybersecurity Bills
The House Committee on Homeland Security passed three bipartisan cybersecurity-related bills late Monday.
Trust Co. of America Expands Tech Platform to All Mobile Devices
Trust Company of America announced on Tuesday that it has expanded its technology platform, Liberty, to work on all mobile devices.