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Established as part of the Securities Exchange Act of 1934, SEC 17a-4 defines a set of records preservation and retention…

Broker-dealers are finding it increasingly difficult to attract millennial investors while still building relationships and effectively servicing their current clients—especially…

Today, financial advisors operate in a far more competitive landscape than in years past. Robo-advisors and other technology-driven changes are impacting…

Workflow automation is taking the wealth management industry by storm. Automated account onboarding, digital client signatures and streamlined blotter submissions…

Anyone looking into a financial advisor’s office or file server will notice it right away: hundreds, even thousands of files…

No one is a fan of financial industry-related funny business. Those hijinks got old really fast. That’s why regulators are…

Financial advisors have been dealing with regulatory oversight and strict recordkeeping rules for years. But now that more firms are transitioning…

To assess an advisory firm’s total worth, there are numerous factors beyond AUM to consider. Putting an efficient infrastructure of…

Building a presence on social media sites like Twitter, LinkedIn and Facebook can help financial advisors build a strong brand,…

Right now, RIAs are busy formulating their business plans for 2015.  In the area of advisor technology, investment decisions have…

Financial advisors become successful by focusing on building their practices—not by planning how they’ll leave them. In fact, less than…

For financial advisors, a winning day can come in many forms—a good day in the market, signing a new client…