Ron Rhoades, Columnist

One-Man Think Tank: Six steps to avoid getting sued and having your reputation destroyed in the bargain

Ron Rhoades: Potential clients rightfully adhere to the old adage, "Where there's smoke, there's fire." 

Ron Rhoades

<p>The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.</p>

<p>The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.</p>

RIA Compliance

Beware prospects who bad-mouth their old advisor; fire clients who don't stick to the strategy 

One-Man Think Tank: Six steps to avoid getting sued and having your reputation destroyed in the bargain

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