Blog Archives

Social Media, Your New Recruiting Tool

You know social media helps advisors attract new clients–but did you know it can help firms attract new talent as well? It can be a powerful recruiting tool that also works as a selling point for your firm to attract

Posted in Practice management

Win Over Millennial Clients: The $30T Opportunity

Are you ready for the $30 trillion wealth transfer? This great wealth shift from Boomers to their heirs has officially begun and will continue over the next few decades—is your business prepared? As an advisory firm, these are your future clients,

Posted in Wealth Management and Financial Planning

Unlikely Friendship: Social Media and Compliance

Part 1 of 3 in our Social Media series. Social media. The right policy coupled with the right technology can bring significant success to your firm. By knowing the ins and outs of social media, potential risks, and best practices, in

Posted in Practice management

Thumbs Up: SEC Gives a Qualified “Like” to Third-Party Testimonials

Once again, technology has leapfrogged regulation. The rise of social media has compelled the SEC to clarify and update rules written when the media landscape was more black and white – as in newsprint. The rule in question is 206(4)-1(a)(1)

Posted in Regulation, Compliance, and Security

Socialize It: SEC OKs Company Announcements on Social Media

After several months of inquiry, the SEC last week declared that public companies can make announcements via social media outlets such as Facebook and Twitter, provided they tell investors that’s where to look for company news. At issue was whether

Posted in Regulation, Compliance, and Security


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