6 Ways for Owner-Advisors to Make Mergers Work
My consulting work with advisors—and my own failed merger experience—have taught me these lessons.
Why Net Worth Pricing Might Be the Future of Wealth Management
A new financial planning philosophy aims to further incentivize growth by aligning client interests more tightly with those of their advisor.
The Market Is Ambiguous. Does Your Investment Strategy Need to Be?
Since yesterday’s winners are so frequently tomorrow’s disappointments, three suggestions for keeping your clients invested regardless.
Technology As an Investment – And a Niche
Clients who are keen to have Kim Gaxiola as their financial advisor better not have reservations about technology.
Congress Got Schooled Once by a BD Owner; It Should Again
As the new administration and Congress contemplate regulatory changes, it would be wise to get input from broker-dealer owners like Peter Schiff.
Supreme Court Leaves Insider-Trading Law Alone
Insiders who corruptly misuse corporate information are guilty of insider trading. Investment analysts who call up the companies and asking them questions, are not.
Large Cracks Beginning To Form Under Robo-Advisors
Now that the industry is processing what the delivery of financial advice will look like in the post-DOL fiduciary world, a new picture of the robo threat is emerging.
DOL Fiduciary Rule's Fate: 3 Possible Scenarios
Even if the Trump administration decides to delay or withdraw the rule, rollovers will continue to be a focus of regulators, attorney Fred Reish says.
A Big Data Solution for Proactive Compliance Programs
For forward-thinking firms, internal investigations via big data monitoring are part of their regulatory compliance program, rather than a result of alleged misconduct.
Key to Advisor Success: Having the Discipline to Finish
The industry is seeing profits shrink. To reverse this trend, owners should view their firms as “finished” but never “done.”