SEC Warns RIAs to Review Electronic Communication Policies
By Melanie WaddellAn OCIE Risk Alert zeros in on advisor infractions of the Books and Records and Compliance Rules.
December 13, 2018
Why Rushed Year-End Comp Plans Are a No-NoBuilding a successful compensation plan takes three to four months, involves collecting feedback and getting buy-in from staff. Give this task the time it deserves.
December 13, 2018
Ameriprise, Raymond James Nab Wells Fargo Reps: Recruiting RoundupMeanwhile, LPL says that two of its affiliated groups have merged, forming a super OSJ with over 100 advisors and $4 billion in assets under advisement.
December 12, 2018
How Advisors on Each Coast Help Clients Navigate New Tax CodeHow two advisors in high tax states are being proactive with clients on the new tax law, especially the SALT fallout.
December 12, 2018
Successful RIA Deals Take More Than a CheckbookThere are three factors involved with successful acquisitions, according to industry leaders who spoke at the MarketCounsel Summit.
December 11, 2018
Kitces Asks: How Should 'Best Advisors' Be Ranked?Michael Kitces asked about better ways to rank top-performing advisors. Here's what advisors said.
December 11, 2018
SEC May Use Same Words to Describe Broker, Advisor Standard: ClaytonClayton sparred with Sen. Elizabeth Warren Tuesday about the agency's advice-standards package during an SEC oversight hearing.
December 11, 2018
Mercer Advisors Acquires Bell Wealth ManagementBell Wealth has $200 million in AUM.