6 Steps to Complying With SEC Email Regulations
Hiring a vendor to capture and archive emails within your advisory firm is the beginning, not the end, of complying with SEC rules and regs.
The Magic Formula for Advisory Firm Success? There Isn’t One
Each firm is different, every owner is different, but the successful ones commit to a—get this—plan, and learn from their failures.
Social Security and Tax Planning: The Advisor Opportunity
Neither process is fun, but relieving the confusion and frustration surrounding the Social Security planning and claiming process represents a major business-building opportunity for advisors.
DC Update on SEC User Fees, an SRO and Third-Party Exams
It will be difficult to enact any legislation in this Congress, but I predict that the RIA user fee bill will gain co-sponsors, including Republicans.
Fiduciary-Only Advisors: Of Attorneys, 'Agents' and Schmucks
Readers of my recent blogs had some interesting responses (with colorful language) about the viability of my suggested designation of 'Fiduciary-Only Advisors.'
Advisor: Do You Have an Abundance or a Scarcity Mindset?
What's true for clients is true for advisors. How you view the world—with an abundance or a scarcity mindset—makes a difference in your behavior. Choose.
One Golf Course That's Great for Stock Tips
The Oakley Country Club in Watertown, Massachusetts, would seem to be the biggest hotbed of alleged insider trading since SAC Capital.
The Four Traits of the ‘Perfect Advisor’
While investors may have a hard time finding "perfect" advisors, is there another trait they should be seeking?
3 Key Steps to Jump-Start Your Business Using Social Media
Advisors who set aside just a small amount of time can maintain their social media presence and reap the rewards of new clients.
A 5-Step Process to Utilize Your Existing Technology: Level 3 – Building Processes Into Your CRM
In the third post in our series, we focus on how to build processes into your customer relationship management software. It's easier than it sounds.