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Why Gen 2 Advisors Are a Flight Risk

Wealth Management

Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all Resonant Capital Advisors CEO and President Benjamin Dickey RIA $2.2B Number 8860726.

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How to Ensure a Smooth Transition to Your New RIA Firm

XY Planning Network

Managing this process effectively is crucial for retaining clients and ensuring compliance. If you're an established financial advisor setting out to launch your own Registered Investment Advisor (RIA) firm, transitioning clients from your previous firm is likely at the forefront of your concerns.

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Why a CFP course is the smartest step in your Financial Career?

International College of Financial Planning

With the amount of money coming in, there is going to be a lot of importance on compliance associated with advisory. Mis-selling would be at its peak during such times, only a certified professional can act on client first approach to help choose investors what is right for them.

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Why Advertising “Conflict-Free” Advice Could Violate The SEC’s Marketing Rule

Nerd's Eye View

However, in a landscape where the number of fee-only, fiduciary advisory firms has grown – making "commission-free" less of a differentiator for any one firm – it's worth questioning whether it makes sense for firms to describe themselves in terms of their relative lack of conflicts of interest at all.

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Bay Area Advisor Departs Commonwealth to Start Own RIA

Wealth Management

Spiegelman dropped his FINRA license about three or four years ago and had been moving toward a fee-only model for several years. Number 8860726. Spiegelman and his team of three had been at Commonwealth Financial Network for the last eight years. I had a really good run at Commonwealth.

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Transcript: Jonathan Clements

The Big Picture

I mean, these sort of traditional brokers were much slower to adopt ETFs than, you know, fee only financial advisors. It was just a struggle from day one, particularly in the regulatory environment that is the securities business between lawyers and compliance people. I’m curious as to what you witnessed.

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Weekend Reading For Financial Planners (September 14–September 15)

Nerd's Eye View

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC this week fined 4 RIAs for violations of its marketing rule related to their claims that they offered 'conflict-free' financial advice.