Compliance Manual as RIA Operations Manual
Collaboration between compliance and operations is key.
Source: wealthmanagement.com
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How Important Is it to Define Your Ideal Client?
How Important Is It to Define Your Ideal Client? Knowing the type of client you are looking to serve will allow you to design the best products and services needed by them. When an RIA owner asks us to perform an Operational Diagnostic review of their business, they typically have two burning questions: Have we chosen the proper technology tools and organizational structure to support our firm’s growth? Do we have the right employees in the right seats, and are they engaged and committed to our firm’s mission? The first step in our process is always to request a high-level overview ...
Source: wealthmanagement.com