Knowledge Hub

Broker-Dealer Insight Report: Future Proof

Independent broker-dealers (IBDs) today face perhaps the most challenging business landscape ever. This environment is making it harder for many firms to remain profitable and competitive. Given the challenges and pressures your firm is facing, you may want to be...

Is FaceTime Ever a Substitute for Face Time?

By  Michael P. Scaplen   Advances in technology, going as far back as the development of the telegraph and the first transatlantic wires, which opened global markets, have driven change in the financial services industry.  In addition, rapidly evolving technology,...

Becoming a Holistic Financial Advisor

There are more than 30,000 SEC and State-registered investment advisors (RIAs) in the United States. While the populations they serve are diverse, advisors across the industry have noticed a similar shift in what clients need and expect from RIAs. More so than in the...

Four Mistakes to Avoid When Switching Custodians

There’s no question that switching custodians is a big undertaking for an RIA. But making a change is well worth the effort if it means you can offer better support, products, or services to your clients. If you are considering transitioning to a new custodian, you’ve...


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