Upcoming Webinars
Topic: "The Path to Independence". Co-founder and Managing Principal, Chris Winn teams up with industry veterans to discuss the critical decision points and process for starting an RIA firm. The webinar will cover business planning, the "Broker Protocol", registration of your firm, selecting the right technology, and a sequential walk through the process.
Date: Thursday, November 18, 2009, 4:00 ET
Register: Complete the adjacent form.
Recent Webinars
2010 Compliance Planning for RIAs. (sponsored by Advisor4Advisors.com, where Chris Winn serves as a compliance blogger).
With 2009 coming to a close, now is a good time to improve your compliance procedures for 2010. Chris Winn, Co-founder and Managing Principal, provided attendees with the crucial tasks for their 2010 compliance program and a proactive strategic plan to minimize compliance risks before something goes wrong. AdvisorAssist provided participants with a compliance calendar to use for their internal purposes.
Date: October 30, 2009
Replay: If you missed this valuable session, you can view a replay free-of-charge. You may also download the slides. You can receive CE credits from watching this replay!
Compliance, Operations, And Marketing For Advisors Going Independent. An introduction to the key practice management issues you must face when setting up your practice as an independent advisor, including:
- required books and records rules
- the easiest ways to meet compliance responsibilities
- key strategic operational decisions when starting a firm
- initial operational processes you must establish
- selecting practice management software and custodians
- communication systems for transitioning clients
- marketing solutions to find new client
Date: October 14, 2009
Replay: If you missed this valuable session, you can view a replay free-of-charge. You may also download the slides. You can receive CE credits from watching this replay!
Have a suggestion for a webinar or white paper topic?
Call us at 866-513-4042 or complete the adjacent form.
Request Information
For more information and pricing, please complete the form below or call us at 866-513-4042.