Top 15 States With Most RIAs
The number of RIA firms increased to 31,975, according to SIFMA’s 2014 Factbook, despite an active merger year.
SEC Busts 3 Advisors for Falsifying State Registrations
The three firms claimed they did business in Wyoming, an unregulated state, while maintaining offices elsewhere, the SEC says.
SS&C Buys Advent Software for $2.7 Billion
Growth in the RIA space is a key motivator of the deal, says Advent CEO Pete Hess.
BDs’ Cybersecurity Stronger Than Advisors’: SEC, FINRA Reports
Both the SEC and FINRA will "likely bring enforcement actions if firms’ policies and procedures are found to be deficient,” warns Sutherland's Brian Rubin.
2 Big Reasons Breakaway Brokers Have a Bright Future: TDAI’s Dorsey
Retention packages are expiring en masse, and clients are leaving wirehouses, sales director Pete Dorsey says. There are two ways an independence-minded advisor can proceed.
TDAI on Advisor Recruiting: Think Broader
For example, career changers, like disaffected teachers or social workers, can make great financial planners, TDAI's Kate Healy says.
Restoring Trust, One Client at a Time
What a person finds humorous can be quite revealing.
Do You Have a Scalable Business?
Getting bigger is a great objective — if growth can be translated into results.
A Simple Solution: Let's Call an Advisor an Adviser
Over the past year or so, many advisor industry observers have become disillusioned about the SEC's chances of complying with its Dodd-Frank mandate to create a fiduciary standard for brokers that's “no less stringent” than the 1940 Act.
What Advisors Can Learn From the Sony Hack
The destructive hack has implications for all sorts of businesses, including your clients’—and yours.