Age No Impediment to a Successful Succession Plan
By Cam MarstonA 32-year age gap exists between the founder and outgoing CEO of an RIA firm and his successor.
December 19, 2014
RIA, Dually Registered Assets To Reach 28% Market Share By 2018New 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.
December 18, 2014
SEC Chief White Pushes Back on Advisor AuditsWhite tells Financial Services Committee that a reallocation of resources from BD coverage to advisors would not be advisable.
December 17, 2014
Enforcement: Nationwide to Pay $140M in 13-Year ERISA SettlementIn another action, the SEC charged the owner of a home restoration business with securities fraud for selling unsecured notes to investors.
December 17, 2014
Fidelity Finds RIAs Seriously Lag in Marketing, Business DevelopmentThe 2014 Fidelity RIA Benchmarking Study shows that many RIA firms need to address marketing and business development strategically.
December 17, 2014
Senate Passes Tax Extenders BillTax extender package applies only to 2014 and will last two more weeks.
December 16, 2014
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.
December 15, 2014
5 Steps to Replicate Your Best ClientsIs there a way to find new clients that are similar to, if not exactly like, your best clients?