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RIAs
Voices
My 'beautiful' letter to the SEC I wish I could rewrite
Bob Veres
Columnist
Here's what I've realized since I penned my original missive to the commission.
CFP Board, FPA get busy after Missouri bans CFP designation
Missouri legislators inadvertently passed a law that would outlaw the Certified Financial Planner credential.
eBook
The RIA Roadmap: Your essential guide to making the transition
Are you ready to go independent? Thousands of advisors have made the transition. Learn how with this guide.
Sponsor content from
$365M team leaves South State Bank, launches an RIA
Firethorn Wealth Partners gets started with the help of tru Independence.
$200M Wells Fargo team jumps to Steward Partners
Two wirehouse veterans are the latest to join a fast growing independent firm.
Voices
Building an app for your practice? Here's a guide for that
Mike Capelle
Head of technology platform
United Capital
Customers are switching to mobile for financial services — and firms committed to creating their own platforms are setting the pace.
Yet another startup? Where there's a will, there's a robo advisor
Feeding a constant flow of launches are predictions that digital-first advice firms will manage over $4 trillion in the next two years.
AssetMark's big TAMP move
The turnkey provider picks up a $5.7B RIA.
Voices
Do advisors cave to peer pressure?
Carolyn McClanahan
Director of Planning
Life Planning Partners
Leave this bad influence back where it belongs — in high school.
This common compliance violation can make advisors unemployable
Violating this FINRA rule has extremely serious consequences including termination and disciplinary action.
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