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Advisor Channels Converge at FSI's Annual Conference

The broker/dealer business is starting to embrace different models and affiliation options. ....

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Regulations complicate RIA independence, FSI OneVoice panel

July 27, 2021 12:46 PM
The challenge of keeping up with regulatory requirements is so serious that industry observers suggest that the truly independent, small RIA model where the principal might also handle compliance with the aid of an outside vendor is no longer viable.
Gone are the days of getting compliance in a box for $5,000 and surviving for a year, said Desireé Sii, president and CEO of SagePoint Financial. Advisors truly don t know what it entails until the regulator s in their office, and then it s too late.
But the lure of independence is strong. In its 2020 report on advisor movement, Fidelity reported that, on a percentage basis, the independent RIA model had the most growth of any segment. That’s based on data from research and consulting firm Cerulli that counted advisors who moved to that channel compared with those who left it. By contrast, wirehouses and regional broker-dealers both saw net losses in their advisor ranks. ....

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Planner connects financial and racial literacy during panel at FSI conference

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Turn off the blinders to systemic racism, engage in more education and events in which you are the minority, and revamp screening processes to remove bias in hiring. Those are the tangible actions planner Lazetta Rainey Braxton told hundreds of wealth management executives and financial advisors they can take to help dismantle systemic racism and increase access for underrepresented groups in the industry.
Rainey Braxton, co-founder of 2050 Wealth Partners, the founder of the recently launched diversity, equity, inclusion and belonging consulting firm Lazetta & Associates, the chair of the Association of African American Financial Advisors and a
contributing writer, discussed those issues during a session at the Financial Services Instituteâs OneVoice conference on July 27. Her comments pierced through the political rhetoric surrounding the countryâs racial reckoning of the past year and touched on concepts such as critical race theory, white p ....

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COVID-19 pandemic forced financial advisors to pivot, executives say

COVID-19 pandemic forced financial advisors to pivot, executives say
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