New Private-Funds Rules Hit With Court Action: SEC Roundup
By Nick Morgan and Tom ZaccaroSeveral industry groups filed an action in a federal appellate court challenging the SEC's recent private funds rules.
July 17, 2023
Michael Cowan, Managing Principal, Gardens Wealth Management (Video)Michael Cowan, Managing Principal at Gardens Wealth Management, speaks about working as an independent financial advisor for the last 13 years and what…
July 17, 2023
Spotlight on M&A (Video)As independent financial advisors seek growth, panelists explain why they are using M&A as a key strategy for expansion. Building their books of business…
July 14, 2023
Supreme Court to Decide Fund Manager's 10-Year SEC Fight — SEC RoundupThe SEC's in-house trial system is largely "a kangaroo court," the hedge fund principal's lawyer says.
July 14, 2023
Keeping the Focus on Clients (Video)For advisors who have picked the independent path, one of the biggest benefits is spending more time and energy deciding how to optimize and personalize…
July 12, 2023
Common Fears of Going Independent (Video)A common refrain from independent financial advisors after they transitioned to independence is: "Why didn't I do this sooner?" For those that have made…
July 12, 2023
How Independence Gives Advisors Room for Growth (Video)One of the keys to creating a successful independent business is knowing how to grow. Whether they're attracting clients, hiring employees, or selecting…
July 10, 2023
How Independent Advisors Tackle Marketing and Compliance (Video)Marketing and compliance can feel like obstacles to those thinking about going independent. Here's how several financial advisors tackled these issues…