Richard E. Austin

Decorative pattern

Market Insights

Rich clients may not be smart

Just because an investor can throw $150,000 at an investment doesn’t mean they’re sophisticated and don’t need to look at a prospectus.

By Richard E. Austin |June 5, 2012

3 min read

Decorative pattern

Two ways to reduce compliance costs

Find out what parts of your practice are unprofitable by using full-cost accounting—that means including compliance costs, which are often overlooked.

By Richard E. Austin |January 19, 2012

2 min read

Decorative pattern

Planning and Advice

Eight rules for changing dealers

You’ve had it with Your dealer. It’s time to move to one with better service, faster trade clearing, and improved market access. But how will it impact your clients? Here are eight things to consider:

By Richard E. Austin |October 1, 2011

2 min read

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