In late October, we held our first Red Oak User Conference at the Omni Hotel in Austin, Texas. With the team usually on the road meeting with customers or attending…

Remember that time you started a new relationship, and at the beginning, you thought it was ok not to disclose your previous relationships? Then as things became serious, you were…

Let’s face it; form filing isn’t likely to be voted the most exciting task to do in your firm. Due to frequent changes within the organization and its employees, filing…

Dually registered investment adviser/broker-dealers are fairly common in the industry. This type of arrangement allows for the registered entity to offer both transactional and fee-based services, theoretically, based on the…

Due to the high level of trust clients place in Investment Advisers, the fiduciary duty of an Adviser can’t be overstated. That’s why when we hear about an Adviser purposefully…

With industry groups failing to take the initiative in challenging the new Regulation Best Interest Advice (Reg BI), Michael Kitces and Alan Moore of XY Planning seek to take on…