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Tips for RIAs to Stay in Compliance

Everyone has been speculating as to what the new fiduciary requirements will be, but there has been very little out there as to what RIAs and other financial services professionals can do to ensure they will be in compliance when the new regulations are finalized by...

Facing FINRA – The Tradeoff

There has been a “rumble” since January when the SEC announced that FINRA would soon be regulating RIA’s and fiduciary standards would apply to broker-dealers. Most of the RIA’s seem pleased about a uniform standard of conduct, but cautionary about the prospect of...

The Team Environment

Finding the best team of associates for your RIA firm takes work, but the benefits of a team versus a solo shop are substantial. That’s because RIA firms don’t have help from broker-dealers provided to them. Many advisors tend to have a special niche such as financial...