RIAs who want to own their own wealth management shop face two major challenges, over and above giving investment advice: They must comply with all the rules and regulations while also running an operating business.
A "complete solution," Going Independent, has been launched by two firms with experience in both areas. Regulatory Compliance, based in Londonderry, N.H., provides compliance and business consulting services while its partner in this venture, Dynamic Wealth Advisors, based in Scottsdale, Ariz., offers practice development aid to RIAs.
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