You rely on your practice and home for food, clothing, shelter and many of your family’s additional desires. If you suddenly pass away or need to retire, the house will still be there, but will your practice still be? [...]

A client came to our consulting firm with a desire to evaluate broker-dealers. As is typical with many advisor transitions, the impetus for change was created when the advisors’ broker-dealer was making a significant s[...]

This article is written for independent advisors whose goal it is to profitably and prudently manage several hundred million dollars for their clients with a minimal number of employees. This deceptively simple goal is a[...]

Advisors face more competition than ever and need to distinguish themselves from the competition by creating personal connections that eventually convert into revenue-generating relationships. The current competitive and[...]

A host of new and proposed legislation relating to RIAs and IA’s has been rearing its head. The basic changes will require registration for more types of advisors. This will require hedge funds, private equity funds [...]

Wealth manager Jack Schecter sets extremely high standards for himself — and he is calling on other advisors to do the same. But, just what are his standards? For starters, Jack Schecter and his team, New York-based[...]

In our work supporting almost 2,000 advisors, we often hear them lament that they are eagerly seeking ideas to help them manage their practice, but have very little time to pursue help and training. Their challenge is to[...]

There’s nothing like a market collapse to shake the foundation of your investment beliefs. So it’s no surprise to us that many of our financial advisor clients are taking this respite from the storm to regroup, reth[...]

On May 14, 2009, the Securities and Exchange Commission (SEC) proposed changes to the custody rule under the Investment Advisers Act of 1940, Rule 206(4)-2, which will affect investment advisors who are deemed to have cu[...]

A recent Moss Adams’ survey unveiled that advisors using integrated technologies increased their revenues and profits by 33%. Because of this significant contribution of technology to overall revenue growth, financial [...]