What Is SEC 17a-4?Established as part of the Securities Exchange Act of 1934, SEC 17a-4 defines a set of records preservation and retention… Read more
How Broker-Dealers Can Compete with Robo-AdvisorsBroker-dealers are finding it increasingly difficult to attract millennial investors while still building relationships and effectively servicing their current clients—especially… Read more
How Laserfiche ECM Helps Financial Advisors Compete with Robo-AdvisorsToday, financial advisors operate in a far more competitive landscape than in years past. Robo-advisors and other technology-driven changes are impacting… Read more
Expert Panelists Talk Workflow for Wealth ManagementWorkflow automation is taking the wealth management industry by storm. Automated account onboarding, digital client signatures and streamlined blotter submissions… Read more
Record Collecting Versus Record RetentionAnyone looking into a financial advisor’s office or file server will notice it right away: hundreds, even thousands of files… Read more
RIA Pop Quiz: Do You Know Your Recordkeeping Regulations?No one is a fan of financial industry-related funny business. Those hijinks got old really fast. That’s why regulators are… Read more
Why Your Computer and Company Server Are Not CompliantFinancial advisors have been dealing with regulatory oversight and strict recordkeeping rules for years. But now that more firms are transitioning… Read more
How to Increase Business Valuation through Operations and TechnologyTo assess an advisory firm’s total worth, there are numerous factors beyond AUM to consider. Putting an efficient infrastructure of… Read more
What You Need to Know about the New SEC Rules on Social MediaBuilding a presence on social media sites like Twitter, LinkedIn and Facebook can help financial advisors build a strong brand,… Read more
InvestmentNews Study Shows the Payoff of Advisor Technology for Financial ServicesRight now, RIAs are busy formulating their business plans for 2015. In the area of advisor technology, investment decisions have… Read more
Vlog: Tech that Boosts Business ValueFinancial advisors become successful by focusing on building their practices—not by planning how they’ll leave them. In fact, less than… Read more
A New Way to do New Client Onboarding for Broker DealersFor financial advisors, a winning day can come in many forms—a good day in the market, signing a new client… Read more