Anti-Money Laundering and Advisors: SEC Compliance vs. Best Practices
Yes, technically there is no requirement imposed upon investment advisors to maintain an anti-money laundering program, but try telling that to your SEC examiner.
Understanding Advisor Economics 101: Follow the Money
The economics of being a wirehouse broker vs. an independent advisor, of the wirehouses vs. fee-based financial services firms, and the CFP Board.
Why You Should Use Team Bonuses Based on Firm Revenue
It would be a shame for advisors to confuse David Grau's and Michael Kitces' aversion to individual revenue-based bonuses with team bonuses.
A 5-Step Process to Utilize Your Existing Technology: Level 5—Cross Application Automation
In your practice, how to reap the benefits of cross application workflow automation.
Insider Trader Mostly Unfazed by Co-Worker's Insider Trading Arrest
We present for your reading pleasure: the worst way to insider trade.
3 Easy Ways to Build a 401(k) Advice Niche
By following a few easy steps, you can develop a robust retirement plan business.
Liability Can Turn Off-Campus Living Into a High-Rent District
A four-year college degree is a costly investment, but the potential costs could grow exponentially once your child moves to off-campus housing.
Knut Calls Out the Brokerage Industry on Fiduciary Standard
Knut Rostad makes the case why a fiduciary standard for all financial advisors is more important than ever today.
Your Corporate Culture: The Party You Throw Daily
To build your corporate culture, approach it the way a professional party planner would.
How I Track My Clients’ Needs
Here's how I keep track of what I need to accomplish with my clients and my business, but am I being efficient?