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The Independent Sourcebook

Profiles and fact sheets of independent broker/dealers and registered investment advisories (RIAs), an outsourcing guide, listings of compliance/regulatory consultants, securities lawyers, recruiters, back-office technology offerings and asset management platform providers.

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Rep. Bookstore : Featured Book

Rainmaker A systematic methodology for building a successful high-net-worth practice with the wealthy.

Based on extensive research with with more the 1,400 middle-class millionaires and more then 500 high-end advisors, Prince & Geracioti provide a detailed set of strategies and tactics to build a extremely successful advisory practice... Learn more and buy.

In This Issue: July 2010

Cover Story

The New Sheriffs In Town

Under reform legislation, RIAs with less than $100 million in assets will no longer be regulated by the SEC. State regulators will step in. Will states be more successful than the SEC?



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