With the growing popularity of Outsourced CIO solutions, more independent RIAs and IARs are gravitating to this money management solution. Staying ahead of the curve in today’s increasingly competitive financial space requires some outside-the-box thinking. […]
In today’s dynamic investment landscape, many financial advisory firms are contemplating whether to manage their investment processes in-house or outsource them to established experts. The Outsourced CIO (Chief Investment Officer) alternative is a popular solution […]
As an independent RIA or IAR registered firm, you constantly face changes that dramatically impact your business: The economy, securities markets, regulations, AI, and other technologies that impact your business. This rapid change is accelerating, […]
For RIAs and IARs, navigating the complex investing world can be challenging, especially when facing where to put your clients’ assets. One of the key decisions you and your clients will make is allocating the […]
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 […]
Navigating the financial landscape has never been more complicated. Reg-BI keeps adding another layer of complexity, requiring broker-dealers to accommodate additional moving parts. Meanwhile, this year’s economy is presenting unprecedented challenges that may make it […]
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 […]
How can you, as an independent RIA, ensure that your clients receive the best quality investments and fiduciary advice for their needs? You might think it’s impossible to do so without breaking the bank. Fortunately, […]
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” […]