Software companies offer products to help advisers meet intense regulatory demands.
Tips on working with elderly clients who have not grown up with the Internet, e-mail and secure portals.
There's been no summer break for the SEC, as the regulator's tally for never-examined advisers has been bolstered by a quicker examination process.
Though rated No. 1 by advisers, most don't maximize the potential of their sites with ongoing improvements.
Blake Richards misappropriated $1.7 million from at least seven investors, some of whom were elderly, according to the SEC's charges.
Three advisers join as partners and will operate as HighTower Fort Myers.
Such an assessment needs to address where you are today and where you want to be at some point in the not-too-distant future.
Advisers need to adapt as clients increasingly demand 24/7 access to their accounts from all devices.
It may not be long before advisers are sending clients a personalized video each quarter that reviews portfolio performance. The technology to customize videos without much effort is increasingly available.
Four formidable forces are developing to take assets from the standalone local advisory firm and they are quietly building momentum.
You might have checked off legal and client communication requirements when changing your firm's name, but don't forget new e-mail addresses, signs, websites, social media accounts, logos and more
Will concentrate on educational activities via radio and TV programs. and other media.
While still figuring out how to use mobility in their practices, advisers are indicating mobile CRMs are here to stay.
SEC scores court victory involving wrap account fees and is making them a priority in exams
Environmentally friendly methods extend beyond the portfolio.
UBS' plans to cut 75 sales assistants comes as firms including Morgan Stanley target new profit margin goals for next year.
In the past year or so, more than 30 major companies have quietly amended their bylaws to say Delaware courts are the only place where shareholders can file lawsuits alleging misdeeds by corporations, their managers or directors.
The firm's retail advisory service is offering full refunds of fees to new managed-account customers whose investment portfolios decline in value.
