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Advisers leave assets behind when switching firms

November 26, 2014

Hiring firms are often eager to announce the assets under management of a new hire, but how much of that money actually transfers over? In many cases, advisers and brokers are finding that about 20% of assets are left behind in an average move...

Tony Robbins wants to be the new voice for independent advisers

November 16, 2014

Tony Robbins, the self-help guru nicknamed the “mahatma of motivation,” is taking his toothy smile and his message of self-empowerment to financial services, where he hopes to be the face of the registered investment adviser business. With...

Bernie Clark's call to action: Advisers must make industry friendly to the young

November 6, 2014

As retirees begin to draw down their assets, registered investment advisers must look ahead to the next generation. That's what Bernie Clark, head of Schwab Advisor Services, reminded about 1,900 advisers during his opening remarks at the firm's...

To recruit young advisers, show them a path

November 3, 2014

I'll never forget the line that prompted me to become a financial adviser: “You'd be an idiot if you don't do this.” That blunt statement, made by Blair McCarthy, the adviser who had been recruiting me to join his firm, really got my attention....

A 401(k) conundrum: Can you make cash pile last for life?

October 8, 2014

Even if you've socked plenty of money away in your 401(k) plan and invested it carefully, some of your toughest decisions lie ahead. And don't expect much help or clarity from the government or your employer. Strategies for drawing down lump-sum...

Morgan Stanley hauls in $320M Neuberger Berman team

October 1, 2014

Morgan Stanley Wealth Management has wrapped up a round of mid-September hires that brought in a father-son team managing $320 million in assets at Neuberger Berman, the wealth management subsidiary of asset management firm Neuberger Berman...

The dangerous downside of the stronger dollar

September 30, 2014

A stronger U.S. dollar is threatening to knock the markets out of balance. This is scarier and more serious than the 'taper tantrum.' The downside of strength A commodity ETF that strikes all the right notes, and navigates the punishing tax...

Pimco fortifies to take on the old boss

September 29, 2014

Gross and Ivascyn square off in an unconstrained bond fund battle. The Pimco saga gets more interesting by the day. Taking on the old boss Pimco's parent stock price drop equates to $400 billion in fund outflows, according to Morgan Stanley....

Market risk is ignored by invincible investors

September 23, 2014

The downside of a Fed-fueled bull market is that everyone feels like an investment genius. The real risk in this market is that investors are starting to believe their portfolios are invincible. Confusing brilliance with a bull market Mohamed...

Frustrated Fed calls out consumers for saving too much

September 3, 2014

When all else fails, blame the consumer. Six years into one of the most aggressive monetary programs in U.S. history, the Fed is now pointing to consumer saving habits as the cause of the stubbornly-low inflation. Banks aren't the only ones...

Central bankers are pushing the whole world into stocks

August 27, 2014

Global equity markets swell to a record $66 trillion on signals from central bankers that low-rates are the status quo. Investors look past mounting geopolitical risks If retirement benefits are your primary goal, consider working for an oil...

Financial Telesis adviser with $700M bolts to Commonwealth

August 14, 2014

A Financial Telesis Inc. adviser with $700 million in assets under management has bucked LPL Financial's recruiting deal and signed on with Commonwealth Financial Network. Benjamin W. Wong, who runs an eponymous financial planning firm in Pleasanton,...

6 books that changed Joe Duran's life

August 11, 2014

As we approach the final languid days of summer I thought I'd share some of the books that helped open my eyes, gave me hope and changed my life for the better. I've listed them in the order I read them and how they shaped my perspective on...

Buckling in for market volatility

August 4, 2014

It's time to embrace market volatility and accept the fact the bull run for stocks is long in the tooth. Watching out for knee-jerk reactions The less-talked about risks of ETF investing, many of which could come to light in a market downturn....

Lebenthal lands $600 million BNY Mellon team

August 4, 2014

Lebenthal Holdings is continuing its push into the wealth management space with the addition of a $600 million duo to its up-and-coming investment advice unit, Lebenthal Wealth Advisors. The addition of Brendan Goldstein and William Patterson,...

The Fed is now fretting about wage growth and surprise inflation

July 24, 2014

Wage growth could catch the Fed off guard. Despite the upbeat notion of higher pay, this could put inflation worries front and center. 'When the dam breaks, it breaks' The SEC's halfway fix of money funds: Float the net asset value for institutions...

As economy improves, veteran advisers stay put

July 10, 2014

Even industry recruiters are starting to admit that there's a lull in the war for top adviser talent. “I don't see that much movement,” said Michael King, a recruiter and president of Michael King Associates Inc. “I would have thought...

Why I left a traditional RIA for a robo-adviser

May 30, 2014

Before I moved to FutureAdvisor, I was working for a registered investment adviser with $50 billion in assets under management, expanding their high-net-worth business globally. I received rigorous training, mentorship and great opportunities...

15 fastest-growing fee-only RIAs - Fee-only RIAs on the rise

May 28, 2014

Market conditions and a broader industry shift, with more and more advisory firms going independent, have caused the fee-only registered investment adviser (RIA) universe to expand at a rate of 11% per year. Among the top 100 firms – RIA giants...

Time is money: Quantifying the value of working hours

May 23, 2014

It's not a regulation, but it's no less inviolate a rule: your income will be completely dependent on where you and your team spend your 1,920 work hours a year. In a service business, time really is money. The allocation of work time is the...

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