Results for "breakaways"

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Time to get on board the fiduciary train

March 27, 2016

For better or worse, the fiduciary train has left the station, and financial advisers of every ilk had better be on board. Tens of thousands of brokers, registered investment advisers and those who straddle both sides of the fiduciary fence...

What advisers can expect from an SEC exam

March 13, 2016

Congratulations, you're one of the 10% of investment advisers the Securities and Exchange Commission is planning to examine this year. Here's what you can expect over the next couple of months, or — if you're on the less fortunate end of the...

Why advisers shouldn't shy away from discussing fees with clients

March 11, 2016

Charles Schwab had a great television commercial a couple of years ago that nicely captured the dilemma facing financial advisers when it comes to talking to their clients about fees. The commercial opens with a father and his young son who...

New academic research challenges the honesty of financial advisers

March 2, 2016

Business school profs are taking it to the financial advice industry with a new paper charging economy-wide misconduct. “It's everywhere, not just small firms. It's pervasive.” Bill Gross is fighting to keep his case against Pimco from being...

Confirmation quagmire mustn't deter SEC

February 28, 2016

The likelihood of the two SEC nominees being confirmed anytime soon is slim, and getting harder to imagine by the day. But the commission has too much important work to tackle to let that hold them back. Even before the sudden death of Supreme...

Boost in SEC examiners to enable closer scrutiny of RIAs

February 21, 2016

The typical registered investment adviser may have let out a howl of fear and loathing when he picked up a recent issue of InvestmentNews and read that the Securities and Exchange Commission was planning to increase its number of RIA examiners...

Serving famous athletes and entertainers poses unique challenges for advisers

February 14, 2016

Before Ed Butowsky became his financial adviser, former Major League Baseball all-star outfielder Torii Hunter lost $70,000 when he invested in an investor's idea to develop an inflatable raft that rests under furniture in case of flooding....

SEC takes steps to avoid Madoff sequel

February 7, 2016

Perhaps it was appropriate that the same week a two-part television series aired on the Bernie Madoff scandal, the Securities and Exchange Commission leaked a story that it was increasing the number of RIA examiners by 20%. After all, one of...

Advisers cast their vote on who should be the next president

February 1, 2016

Among 2,041 advisers surveyed by InvestmentNews, 23% threw their support behind Donald Trump, with Hillary Clinton coming in second at 19%. How did the rest of the candidates stack up? See below for the full ranking of 2016 hopefuls as voted...

For some advisers, money not motivating factor to go independent

January 27, 2016

Wirehouse advisers looking for independence have choices of the type of firms they create or join – independent broker-dealers, existing registered investment advisers or their own RIA. But the option that eliminates the most business worries...

Top 10 hottest trends in the IBD industry

January 22, 2016

Advisers and their independent broker-dealers saw movement last year in regulation, investment products, business strategies, retirement vehicles and more. Here are 10 of the hottest topics, which are sure to continue to evolve as the year unfolds.

Biggest billion-dollar adviser moves since 2011

January 22, 2016

Over the past five years, big adviser moves have picked up steam. These interactive graphics offer more details on the biggest moves since 2011. Hover your cursor over the names of the firms for details on where advisers moved from, as well...

Lessons in leadership for advisers from 'Game of Thrones'

January 20, 2016

Until the Middle Ages, warfare was primarily a battle of numbers. Those with the most men won the war. That changed as weaponry became more important than people in winning combat. The battle for market share in our industry is much the same....

$1B Colorado-based RIA merges with $250M firm

January 19, 2016

Registered investment advisory firm Sargent Bickham Lagudis, with $1 billion in assets under management, announced Wednesday that it has merged with Colorado Financial Management, a firm that manages $250 million. “What we hope is that we...

Errors advisers should steer clear of when updating ADVs

January 14, 2016

Financial advisers filing their annual disclosure forms to the Securities and Exchange Commission should make sure they are paying attention to some recent enforcement cases the agency has brought. Over the past year, SEC cases have charged...

4 adviser recruiting predictions for the year ahead

January 13, 2016

It's time for me to give my 2016 predictions for the wealth management industry, with a focus (obviously) on recruiting: 1. The trend of substantive wirehouse teams departing the wirehouses for "anything but a big firm" will continue. My own...

The cost of independence

December 6, 2015

Christopher Bray founded Ariel Capital Advisors nearly two years ago, naming the Florida-based advisory firm after his 4-year-old daughter. Now he is being sued by Ariel Investments, a $10 billion Chicago-based mutual fund company, for allegedly...

RIA deal mania and why you should care

December 3, 2015

The past several months have been fascinating if you are an independent adviser. Three large transactions have been announced that offer some telling signals about where the industry is headed. To wit: • Lightyear Capital bought a majority...

RIA firms have room for more women

November 22, 2015

Women who have left Wall Street to launch their own independent registered investment advisory firms offer similar reasons that men give for making the move. Like men, they desire more control over their businesses; they are far more comfortable...

Wake-up call for RIAs: It's time to fix exams before it's too late

November 15, 2015

Imagine a town where things are quiet and so the cop doesn't walk the beat as often as he used to, yet this absence of police presence can fuel a sense of insecurity. Registered investment advisers find themselves in a similar pickle: infrequent...

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