Trusted Contact Persons and Sample Form

Investment advisers and broker dealers and other persons in relationships of trust that must keep confidential a client’s contact information and wishes must be able to go outside of that circle of trust from time to time. However, laws such as Regulation S-P prohibit them from doing so. That is why many investment adviser inContinue reading “Trusted Contact Persons and Sample Form”

Financial Professionals Should Consider their Available Employment Options, Including Going Independent

Are you a financial adviser, investment adviser, wealth manager, registered representative or similar financial professional? There are many different names for those who render investment advice. Have you ever wondered how your clients’ situations might improve by changing your employer or business partner? Have you ever considered how your own personal financial well-being might improve if youContinue reading “Financial Professionals Should Consider their Available Employment Options, Including Going Independent”

Top 10 Considerations for Starting Your RIA

The following are the top ten considerations to make for starting an investment adviser: 1.     You will want to develop and complete your firm’s business plan. You will need to decide on your resignation date and begin to develop your vision and strategy. It may be helpful to consider your existing clients, your strengths, your desiredContinue reading “Top 10 Considerations for Starting Your RIA”