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August 3, 2018

They Fired Me For Whistleblowing, Compliance Officer Claims
Plaintiff alleges she was fired after she alerted regulators to sales issues at Purshe Kaplan Sterling Investments Inc.
Cryptocurrency and ICO Activity at Brokerages Catches SEC Scrutiny
Watchdog staff is requesting information from brokers about trading, fees and in-house matters, reports say.
How Many Millions AUM Do RIAs Need to Remain Competitive?
It’s a trick question, according to one study.
Here’s Why Long-Term Care Remains Elusive for Advisors
There are a few certainties in life: death, taxes and the possibility of a long-term care event.
Focus Financial Partners Buys Big Regional RIA Outright
Edge Capital Partners manages $3.5 billion.
RIAs Had Record Client Growth in 2017 But Margins Dropped
Growth in new client assets leads advice firms to beef up staff and overhead.
Measure Twice, Cut Once
Don’t assume software results are accurate when you are preparing to present to clients.

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