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August 28, 2017

Want to Sell Your Firm? Then Get Your Head Right
Success in M&A hinges on emotional preparedness for letting go.
New Form ADV Might Prove Tricky for Some RIAs
The SEC’s changes to the form may require some RIAs to invest in new tools to get ready for the October deadline.
SEC Freezes Former LPL Broker’s Assets
Regulator says broker bilked clients out of $2.8 million.
Regs, Big Data, Interest Rates Will Impact Investing
But few think the industry will be impacted by socially responsible investing or smart beta products.
Ex-Merrill Lynch WM Chief Raises $32.5M for Robo
Her digital platform aimed at women continues attracting capital.