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7 reasons why financial stewardship is more valuable than a fiduciary standard

July 15, 2015

With the recent release of the Labor Department's re-proposed fiduciary definition, a lot of fiduciary advocates are concerned that “fiduciary” will become a de-minimus standard. It will become a floor, not a ceiling — a bronze, not a...

HBO's 'Ballers' and its star, 'The Rock,' play fast and loose with the financial advice industry

July 8, 2015

Dwayne "The Rock" Johnson has played the role of a wrestler, a security agent, the tooth fairy, soldier, the Scorpion King and Hercules. Now he's playing a financial adviser. In the latest HBO television series, "Ballers," Mr. Johnson's character,...

Banks are cutting broker-dealer units from their 'living wills'

July 8, 2015

The nation's biggest banks are lumping their broker-dealer units in with other 'non-essential' operations. In appeasing regulators, banks show B-Ds where they rank. In case of emergency, dump the securities operations The bear has found China....

JPMorgan sues $2B team who left for Morgan Stanley

June 24, 2015

JPMorgan Chase Bank & Co. sued six of its former brokers who defected together to Morgan Stanley this spring for allegedly telling clients if they stayed with JPMorgan their accounts might be serviced by a call center, among other claims. The...

How does adviser pay in your city stack up?

June 3, 2015

Note. Source for all data: 2013 InvestmentNews/Moss Adams Adviser Compensation & Staffing Study and the U.S. Department of Labor's Bureau of Labor Statistics. Bubble sizes are determined by Service Adviser compensation; values for all three...

7 signs clients look for in trusted advisers

June 3, 2015

Survey after survey have revealed that the vast majority of investors do not know the difference between fiduciary and suitability standards — nor do they care. What they care about is whether or not they can trust their financial adviser....

InvestmentNews Research, BlackRock launch new study of “Elite” RIAs

May 28, 2015

New York, May 28, 2015 – With the business of providing financial advice fast evolving – presenting advisers with new service opportunities as well as urgent practice challenges – InvestmentNews Research, in partnership with BlackRock...

The top 10 reasons to become a financial adviser

May 28, 2015

With over 40 years of combined experience working with veterans of the financial services industry, our team knows all of the benefits a career path as a financial adviser or financial planner can bring. And while speaking to advisers who absolutely...

7 signs the fiduciary movement is coming to an end

May 20, 2015

The significant difference between the fiduciary movement past and present is that it was once a point of positive inspiration, but has now become a source of negativity. There are seven clear signs that the 30-year fiduciary movement is coming...

Adviser explains how firms improve business with study groups

May 6, 2015

David Schneider never misses the monthly meeting of the New York Financial Planning Association study group. It's too important to his business. Mr. Schneider, who has an eponymous firm in New York City, has been part of various adviser study...

How the biggest independent broker-dealer networks stack up

May 1, 2015

After looking at the independent broker-dealers with the most producing reps and the biggest year-over-year gains in assets and revenue in 2014, attention now shifts to the industry's big networks and the various firms under their umbrellas....

Bernanke joins Pimco as senior adviser

April 29, 2015

Former Federal Reserve chairman Ben S. Bernanke is joining Pacific Investment Management Co. as a senior adviser, his second consulting agreement with a top money manager in as many weeks. Mr. Bernanke will contribute his economic expertise...

Is adviser compensation rising in tandem with advisory firm revenues?

April 29, 2015

Our research studies have shown again and again that independent adviser compensation stacks up well against some of the best-paid professional careers. Two years ago, after the results were in from our 2013 InvestmentNews/Moss Adams Adviser...

The latest ranking of independent broker-dealers by rep head count

April 28, 2015

Even if recruiting at independent broker-dealers has hit a wall, the industry still features a number of firms with expanding numbers of registered reps. Here's a snapshot of the number of reps at the biggest independent broker-dealers, including...

Independent broker-dealer recruiting hits a wall

April 26, 2015

After a fruitful 2014, recruiting at independent broker-dealers has hit a wall, according to industry recruiters and executives at those firms. Increasing competition from fee-only custodians, a bull market in stocks and better succession plans...

Millennials are shunning financial advice

April 8, 2015

Millennials don't really care about financial advice, which should be a boon for the robo-advice movement. This is not a good sign for the advice industry How a health insurance company is striking out a baseball fan. Adding insult to injury...

Wirehouses still attracting adviser talent

April 8, 2015

Despite the growing list of options for advisers who want to break away from the wirehouses, the big four are holding their ground in the recruiting war for veteran advisers and account for the majority of the deals in the industry. Those who...

Cruz avoids mentioning his wife's Goldman Sachs job

March 24, 2015

Ted Cruz, kicking off his 2016 campaign for the U.S. presidency, extolled his wife's entrepreneurial spirit by telling of her grade-school bakery business. He didn't mention the 10-year career at Goldman Sachs Group Inc. she just put on hold....

Strong dollar is keeping the markets on edge

March 11, 2015

The wicked-fast pace of the dollar's rise has the markets on edge, and there's little reason to expect the greenback will slow down any time soon. Other currencies are not able to adapt fast enough An ominous outlook for the bond bubble. When...

Cash-heavy mutual funds take downside protection to the extreme

March 4, 2015

For investors who truly cannot sleep at night out of fear that this roaring equity market is too risky, here are some mutual funds that are taking the slow lane by sitting on lots of cash. Downside protection to the max A Virginia financial...

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