RIA, Dually Registered Assets To Reach 28% Market Share By 2018
New research from Cerulli Associates shows that independent RIAs experienced the strongest growth among the independent channels in 2013, increasing 17.1% to $1.67 trillion in total assets.
SEC Chief White Pushes Back on Advisor Audits
White tells Financial Services Committee that a reallocation of resources from BD coverage to advisors would ‘not be advisable.’
Enforcement: Nationwide to Pay $140M in 13-Year ERISA Settlement
In another action, the SEC charged the owner of a home restoration business with securities fraud for selling unsecured notes to investors.
Fidelity Finds RIAs Seriously Lag in Marketing, Business Development
The 2014 Fidelity RIA Benchmarking Study shows that many RIA firms need to address marketing and business development strategically.
Senate Passes Tax Extenders Bill
Tax extender package applies only to 2014 and will last two more weeks.
CFP Board Calls First Computer-Based Exams a ‘Success’
CFP Board CEO Kevin Keller congratulates those who passed what he called a “very rigorous exam.”
5 Steps to Replicate Your Best Clients
Is there a way to find new clients that are similar to, if not exactly like, your best clients?
In Search of the Best Financial Planning Software: A Road Block
I really like Thomson Reuter’s portfolio management platform, but if an agreement can’t be reached with my custodian, TradePMR, I’ll have some decisions to make.
How Advisors Can Be the Next Disruptors
Financial advisors needn’t fear the ravages of disruptive technology, Jud Bergman, Spenser Segal and Eric Poirier say.
How Advisors Can Secure Financing
For advisors with attractive cash flow but lacking collateral, loans are available if you know where to look for them and how to get approved.