Amendments to Form ADV and the Books and Records Rule
An investment adviser filing an initial Form ADV or an amendment to an existing Form ADV on or after October 1, 2017 will be required to use a revised Form [...]
What are Managed Futures?
If an average investor were asked what a futures contract is, he or she would probably answer, “I am not really sure, but it sounds complicated and probably doesn’t impact [...]
It’s Graduation Time!
It’s that time of year when many people are ending one chapter of their life and getting ready to start a new one outside of school. And, while they may [...]
Bus Factor
When you hear the term “bus factor,” I imagine a few different images come to mind. Maybe it’s the impending headlights of a bus heading straight for you or a [...]
Best Practices: Sponsoring an Adviser Conference
Marketing can be expensive and sometimes it is difficult to see the direct benefits, especially if there are upfront costs involved. Northern Lights Distributors, LLC (NLD), understands the potential [...]
Best Practices for Impactful Distribution
The sales conversation and process has changed significantly in the past decade. Days of sole product pitches are long gone and have been replaced with a consultative conversation on how [...]
Creating Brand Loyalty
“People are looking for a connection. Tell a good enough story about your brand and people will not only be invested, they’ll want to buy it from you.” ― John [...]