It has been more than seven years since the financial crisis, yet some firms continue to have significant violations due to poor cultures of compliance, FINRA Chairman and Chief Executive Richard Ketchum said in a statement. This year, FINRA will be looking for firms to focus on their culture and whether it is putting customers […]
The question we are most often asked is will my client want to participate in the Financial DNA Discovery Process? Our Wealth Advisors have had very few clients resist participating. The reality is people do enjoy learning about themselves. It can even help in their business and personal lives. It is liberating for them to […]
Most investment committees have a very clear mission: Serve as stewards for assets of the organization they represent. Recruiting the right people to do that is critical to the success of the Investment Committee. But how do we define “right”? Is it a professional background? Education? Investment knowledge? And where does the diversity lens come […]
Statistics shows that 70% of couple clients are at risk of leaving their Financial Advisor if one of the spouses divorces or dies. What is driving this high statistic is that a Financial Advisor typically connects with one spouse more naturally than the other. The other spouse doesn’t feel they have been heard in the […]
The question we are most often asked is “will my client want to participate in the Financial DNA Discovery Process?” Our Wealth Mentors have had very few clients resist participating. The reality is people do enjoy learning about themselves. It can even help in their business and personal lives. It is liberating for them to […]
People problems within multi-function corporate teams are often the result of a lack of Interpersonal Operational Insights based on behavioral assessments.
