Big Form ADV Changes Coming Soon. Are You Ready?
By Melanie WaddellRIAs are bracing for major reporting changes regarding their Form ADVs that begin Oct. 1. An IAA counsel explains some of those changes.
August 22, 2017
CAPTRUST and CapTrust ReuniteThe two firms split in 1998 but had operated as part of the larger CapTrust organization.
August 22, 2017
Will CFP Board Make History?The standards move financial planners towards professionalism on a number of fronts, but more steps need to be taken in three areas.
August 22, 2017
Most MEPs Are in Healthy ‘Green Zone’: SurveyInvestment returns have been driving healthy funded ratios since the financial crisis, Segal Consulting reports.
August 21, 2017
Are You Ready for T+2?The shorter settlement period for trades two days instead of three has implications for financial advisors.
August 18, 2017
Regulatory Considerations When Bringing On a New AdvisorThere are many legal and compliance considerations to keep in mind when adding an advisor to your firm.
August 17, 2017
DFA Announces Second Leadership Shakeup This YearCo-CEO Eduardo Repetto is leaving; current co-CIO Gerard O'Reilly will replaces him in September.
August 16, 2017
SEC Issues More Guidance on Form ADV ChangesIM Division provides guidance on new filing requirement for firms that file an other-than-annual amendment.