Articles Posted in Investment Advisers

The Florida Office of Financial Regulation (OFR) issued a press release this week encouraging all federal covered investment advisers with less than $100 million under management to consider dually registering with OFR and the SEC, and to initiate OFR registration as soon as possible. Dual registration would allow the investment…

According to the 2011 Broker and Advisor Sentiment Index recently published by Fidelity Investments, investment advisers and brokers who moved to an independent firm or who started their own independent firm are more effective than ever in taking their assets with them when they switch firms. The study was conducted…