Engaging Millennials: Working Together to Move the Profession Forward
By Laurie BelewOver the course of this year, I have listened to close to half a dozen presentations about how to engage the millennial client.
November 30, 2015
Can Robo-Advisors Really Be Fiduciaries?Can robo-advisors "be neatly placed within our existing laws," SEC Commissioner Kara Stein asks, "or do we need certain tweaks and revisions?"
November 25, 2015
Tech Support: New Website Connects Advisors With ServicesIve written before that technology gave rise to the independent advisory industry.
November 24, 2015
A Guide to Finance for AdvisorsWant to buy a practice? Sell a practice? Using capital wisely can be the key to healthy growth for a firm, and wealth for an owner.
November 24, 2015
Why Advisors Ignore ESG Investing at Their PerilAdvisors who fail to understand the growing popularity of investing according to environmental, social and governance principles risk falling behind their competition.
November 24, 2015
Ex-Morgan Advisor, in Unusual Move, Takes FINRA Arb Case to Federal CourtFew advisors appeal a FINRA promissory-note ruling because the odds of winning are slim; however, Laurie Facsinas case is different from most.
November 24, 2015
Third-Party Advisor Audits Could Be a Disaster: Norm ChampChamp, a former SEC Investment Manangement director, looks at other cases in which SEC outsourced its authority with "disastrous results."
November 17, 2015
You’re the Owner, So Own UpThe biggest challenge we face in working with advisory firms is when owners wont take responsibility for their decisions and blame employees for failures.