How to Comply — and Why — With SEC Rules on Regulatory AUM
Whether you call yourself a financial planner or investment manager, pay close attention to the SEC’s instructions (and enforcement actions) on counting regulatory AUM.
What Regulators Are Looking for in Your Firm’s Cybersecurity
One in five RIAs could face a security breach this year; no wonder regulators are watching. At its best, cybersecurity management is a three-legged stool.
When Fear of Firing Leads to Fear of Hiring
Advisors are sometimes reluctant to hire the additional staff they need out of fear that they’ll have to let them go in case of a business setback.
Is Your Business Prepared to Handle Disruptions?
The DOL fiduciary rule has been seen as a roadblock, but RIAs are a step ahead.
Are You an RIA, IAR, FA, Rep, Indie Advisor or Broker? We’ve Got You Covered
That cliché that we live in interesting times happens to be accurate right now for the advisor community.
A Local Solution to ‘Generate Enthusiasm’
Mark Tibergien writes this month that financial services professionals “lack a venue to showcase what we do and to generate enthusiasm for our world.”
How to Handle Client Setbacks: Advice From 6 Industry Gurus
Anyone in the planning business knows the humbling adage, “Man proposes, but God disposes.” Or more colloquially, “Stuff happens.”
Selling Fiduciary Advice to Confused Investors
Ron Rogé's early '90s fee-only campaign inspired hundreds of articles in the mainstream financial press about the benefits of fee-only advice.
What Advisors Can Learn From the Gravedigger's Dilemma
How can the financial services profession restore its reputation and attract new talent? Some insights from Hungarian gravediggers.
How an Advisor's Compensation Structure Affects the Client Relationship
Why a fee-based comp model is more beneficial to the advisor's company, the advisor and the client.