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Who Plans for the Planner? Financial Advisors and Succession Planning
- April 12, 2019
- Posted by: Grant Cox
- Category: Blog, Business Development
No CommentsIt may seem ironic that financial advisors, many of whom make a living planning for their clients’ retirements, may not have a complete plan in place for their own retirement …
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What your retirement plan is missing
- March 29, 2019
- Posted by: Grant Cox
- Category: Blog, Retirement
Congratulations if you’re one of the many Americans responsible enough to formulate a comprehensive retirement plan …
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Finding a Niche and Building Your Brand as a Financial Advisor
- March 22, 2019
- Posted by: Grant Cox
- Category: Blog, Business Development, Marketing, Practice Management
If you think back to your time in grade school, you may remember learning in biology class that there’s a specific niche for every organism in an ecosystem …
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Explaining the rise of independent financial advisors
- March 15, 2019
- Posted by: Grant Cox
- Category: Blog
Over the past few years, the financial services industry has seen an exodus of registered representatives from large wirehouse firms and other financial institutions to smaller, independent financial services firms …
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BDs, RRS, RIAs and IARs: The ecology of investment professionals
- March 4, 2019
- Posted by: Grant Cox
- Category: Blog
Some terms you have likely heard before are Broker-Dealer (BD), Registered Representative (RR), Registered Investment Advisor (RIA) and Investment Advisory Representative (IAR). While these are often associated with each other, they make up very distinct pieces of the financial services puzzle…
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What to do with your tax refund
- February 22, 2019
- Posted by: Grant Cox
- Category: Blog, Personal finance
It’s that time of year again and millions of Americans are anxiously awaiting their reward for being responsible, IRS-abiding citizens: their tax refunds…
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Where are we on the SEC Regulation Best Interest Rule?
- February 15, 2019
- Posted by: Grant Cox
- Category: Blog, Regulation
On June 21, 2018, the U.S. 5th Circuit Court of Appeals vacated the Department of Labor (DOL) fiduciary rule…
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Financial Advising to Millennials, the Future of the Financial Services
- February 7, 2019
- Posted by: Grant Cox
- Category: Blog, Business Development, Practice Management
As commonly represented in media headlines, the millennial generation is infamous for eschewing the ways of previous generations. Then it should come as no surprise that millennials are investing differently too …
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FINRA and the SEC: Regulators of the Financial Services
- January 30, 2019
- Posted by: Grant Cox
- Category: Blog
The financial services industry is perhaps the most regulated in the United States, and for good reason…
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How will the government shutdown affect the stock market?
- January 18, 2019
- Posted by: Grant Cox
- Category: Blog, Markets
The partial government shutdown is now the longest in United States history. Without getting into the politics that caused the shutdown, let’s discuss what the shutdown means for the stock market…