Portfolio

Tech is making it easier for advisors to break away, but navigating the complex vendor landscape can be challenging, says the firm's director of RIA practice management.

NASAA’s annual survey of regulators sheds light on legal proceedings against BDs, RIAs and unregistered firms that often go unnoticed in the wider industry.

The independent broker-dealer has launched subsidiary Bluespring Wealth Partners, which promptly snapped up two practices with $550 million in client assets.

The wirehouse has experienced attrition while the regional BD has been on a hiring streak.

Narrowly focused investment strategies are a recipe for “feast or famine,” an analyst says.

The Phillips Curve is in doubt, the bond market is distorted and a tweet can shift the trajectory of global markets in a matter of seconds.

“As we’ve gone through various crises, we’ve still told clients to stay invested and not get out of U.S. equities, it’s too early,” said Sharmin Mossavar-Rahmani, CIO for Goldman’s Private Wealth Management.

“Impacted positions span all staffing grades, as well as organizations and locations across the company," the company says.

To correctly identify their risk tolerance, clients must not only understand how to react to risk, but also how the market environment and investment experience have impacted them.

Revenue numbers take a back seat to cultural and leadership intangibles when selecting a partner who will preserve your firm's value and carry it into the future.