RIA inviting institutional investors to sign diversity, inclusion statement
The Responsible Investment Association is creating a statement on diversity and inclusion and inviting institutional investors to sign on.
Recent
Banks Have Cut Over 60,00 Jobs In 2020. Is It Impacting Advisor Recruiting?
Raymond James has joined Wells Fargo and Citigroup in announcing layoffs, but is it affecting recruiting?
NFL Players Need Financial Advice. Are you Ready To Suit Up?
In case you didn’t know, the NFL Players Association (NFLPA) provides its members with qualified financial advisers. And you could be one.
How Financial Advisers Can Be Ready for the Next Generation
Financial advisers who want to capture a share of the pending wealth transfer need to adapt their service models.
SEC charges Miami area advisor of $1.9m fraud that fueled lavish lifestyle
A Coral Gables-based RIA and its owner have had their assets frozen after the SEC accused them of raising almost $1.9m for a fraudulent scheme.
Measuring Success: The Advisor and the Firm
Historically, advisors have used a fairly standardized set of benchmarks and metrics. But there may be a new way.
SEC’s Expanded Definition of “Accredited Investor” and Related Amendments Creates New Opportunities for Investors and Issuers
On August 26th, the SEC changed the investment landscape as we know it by modestly relaxing the eligibility rules for investment in private offerings.
