With the stock market being a major component of many investors’ portfolios, it is important to understand the various roles of financial professionals. Nearly one-third of registered investment advisors, or RIAs, are responsible for providing advice and guidance to clients on their investment. RIAs are typically registered with the Securities and Exchange Commission (SEC) or a state securities regulator, and have a fiduciary responsibility to their clients.
investment advisory and financial planning services offered through Simplicity Wealth, LLC, a SEC Registered investment Advisor. Simplicity Wealth helps clients plan their financial future utilizing a “holistic wealth planning approach” by providing comprehensive financial planning and investment management services. The firm’s focus is on helping clients achieve their financial goals through careful planning, disciplined investing, and proactive monitoring.
Certified investment Management Analyst® (CIMA®) is a professional certification for financial advisors and investment consultants. This certification is offered through the investment & Wealth Institute® and is recognized as the premier credential for investment consulting and wealth management professionals. The CIMA certification program is designed to help financial advisors understand the principles of portfolio management, risk management, and the legal and regulatory environment of the investment industry.
Merrill Lynch Veteran Offers 'Personal CFO' Concierge Financial Services. Andrew Stolper, CFP®, CIMA®, a Merrill Lynch veteran, is the founder and CEO of Stolper Financial Group, LLC, one of the premiere registered investment advisory firms. He and his team provide personalized financial planning and wealth management services to high net worth families and business owners. Stolper Financial Group provides a “personal CFO” experience to their clients by helping them manage their financial lives.
The Adoption of “Defined Outcome” ETFs by financial advisors. Exchange-traded funds (ETFs) have grown in popularity as a low-cost, efficient way to invest in a wide range of asset classes. A relatively new type of ETF, called “defined outcome” funds, has recently been gaining traction in the investment world. These funds are designed to provide investors with a specific outcome, such as a predetermined level of return or protection from market declines. Adoption of these funds by financial advisors has been robust, as these products can provide investors with a way to manage risk and achieve their financial goals.
A North Carolina Registered investment Advisor Told the U.S. Supreme Court That He Has Too Much Family Obligations to Move. In a case before the U.S. Supreme Court, a North Carolina registered investment advisor testified that he would be unable to move his business to another state due to his family obligations. He said that he has a wife and three children who rely on him for financial support, “Plus I have an 83- and 85-year-old parents that need me as their caregiver.” The Supreme Court ultimately ruled in favor of the investment advisor, allowing him to stay in North Carolina.
Subversive Capital Advisor is a Registered investment Advisor Primarily Focused on Small and Mid-Cap Companies. Subversive Capital Advisor (the 'Advisor' or the 'Company'), a Registered investment Advisor, is focused on providing investment management services to clients who are seeking alternative investment in small and mid-cap companies. Subversive Capital Advisor seeks to provide their clients with a reliable and consistent return, while also offering access to unique opportunities in the global markets.
Consolidation in the Financial Advisor Industry Could Lead to Greater Use of LPL Financial Among Registered investment Advisors. The Financial Advisor industry is undergoing a period of consolidation, with larger firms acquiring smaller ones. This trend is likely to lead to greater use of LPL Financial's services among registered investment advisors (RIAs). LPL Financial offers a wide array of products and services, including custody, clearing, and technology solutions. It also offers access to over 8,000 mutual funds and 500 independent registered investment advisory firms.
LPL Financial’s Direct Custodian, National Financial Services, Could be Beneficial to RIAs. As reported in Financial Advisor, by using LPL's direct custodian, National Financial Services, RIAs could save time and money by not having to open multiple accounts at multiple custodians. National Financial Services provides a single custodian platform that allows RIAs to access multiple accounts, including IRAs, 401(k)s, and other retirement accounts.
The Impact of Tax Reform on Earnings and Amortization Could Prompt More Registered investment Advisors to Take Advantage of LPL Financial. Tax reform has had a significant impact on the earnings and amortization of many companies. This situation makes near-term forecasts challenging, at best. However, it could also prompt more registered investment advisors to take advantage of the services offered by LPL Financial, as the cost savings may outweigh the risk posed by the uncertainty of the market and Tax reform.
