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.
5 Keys to Influencing Prospects
Bestselling author and sales coach Bob Burg talks to ThinkAdvisor about how to turn prospective clients from adversaries to allies.
Parenthood Reveals Divide Among Millennials
Millennial parents have more "conservative" social beliefs and different shopping habits than non-parents, a study finds.
Ultra-Wealthy Clients Choosing Boutiques Over Big Firms: Study
Milton Pedraza, CEO of Luxury Institute, says successful wealth managers are relationship builders first, money managers second.
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.'
Hispanics Seek More Financial Knowledge
Growing up with little to no financial education, Hispanic investors today say they are hungry for more investment knowledge, according to a Wells Fargo survey.
Under the Hood: Protection From Cyber-Crime and Identity Theft—What You Need to Know
Financial advisors are increasingly targeted by identity thieves, so it's more important than ever that advisors protect their clients’ assets and information.
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?
Body Language Dos and Don'ts for Winning Clients
Your words may say one thing, but what are you nonverbally communicating to prospective clients?
SEC Cracking Down on Wrap Fees; Wins Court Case
The SEC wins a long-running court case on wrap fees, while OCIE letter to RIAs signals the arrangements will be scrutinized in exams.