As an independent RIA/IAR owner of a financial advisory firm, do you often juggle multiple tasks while serving your clients? Do you feel like you’re constantly putting out fires whenever there is significant market volatility? […]
The time may be coming when you make a strategic decision to engage the services of an OCIO (Outsource Chief Investment Officer). It can make a lot of sense: You can expand the range of […]
One of the main challenges that independent RIAs or IAR firms are grappling with today is delivering competitive rates of return in a volatile market. Between the rise of different investment strategies, an avalanche of […]
One term you’ll often hear about when discussing various investment strategies is “tactical allocation.” It refers to an approach that attempts to capitalize on investment opportunities in rising, flat, and falling markets. The potential for […]
In the complex world of investment management, understanding the intricate differences between strategic and tactical asset allocation strategies is pivotal for Registered Investment Advisors (RIAs) and firms that provide Outsourced Chief Investment Officer (OCIO) services. […]
As an independent advisor, you’re always on the lookout for ways to enhance the value your practice provides to clients while keeping costs under control. With high inflation, occasional market instability, and a possible 2023 […]
Are you an independent broker-dealer struggling to keep up with the complications of ever-changing securities regulations? The amount of paperwork, alone, that must be tracked for investment compliance reasons can sometimes become a nightmare. Especially […]
The SEC has changed the rules again: In October of 2022, they amended Exchange Act Rule 17a-4, adding new record-keeping requirements. On the upside, broker-dealers no longer have to follow the “write once, read many” […]
For an independent broker-dealer, regulatory compliance can be a significant challenge. It almost seems to grow further whenever you’re trying to deliver the best possible experience for your customers. Regulatory expectations continue to change, but […]
Are you looking to give your firm an edge in this year’s increasingly more competitive financial services industry? Hiring an outsourced chief investment officer (OCIO) may be the solution you’re looking for. In this article, […]