Results for "compensation and staffing"

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The pay gap between the sexes is relatively slim in financial advice

November 22, 2015

The gap between what women and men make for doing the same job is a blight on most professions in America. In financial advice, however, pay inequity between the sexes is relatively slim. Pay data for financial advisers collected by InvestmentNews...

UBS hires three Credit Suisse teams with $3.2B in assets

November 17, 2015

UBS Private Wealth Management picked up three Houston teams that manage approximately $3.2 billion in total client assets. The three teams, formerly of Credit Suisse, were hired by UBS on Monday, according to company spokesman Gregg Rosenberg....

Robert McCann named UBS Americas' new chairman

November 3, 2015

Robert McCann will be bumped up from the leadership of UBS Group AG's advisers in America to a new role, chairman of UBS Americas, where he will focus on clients and strategic priorities in the region, the company announced Tuesday morning....

5 simple ways to help clients understand advisory fees

October 19, 2015

To get clients to understand and appreciate the value of professional financial advice, they must grasp two key metrics: what they are paying and what services are being provided for these fees. While this equation sounds simple enough, the...

Advisers seek independence, but less often as entrepreneurs

October 8, 2015

Going it alone isn't nearly as attractive for financial advisers as it used to be. Today, financial advisers are more likely to join an established RIA than to create their own independent advisory firm, a new report by Cerulli Associates found....

CFP Board sanctions two planners for improper use of 'fee-only' label

September 2, 2015

The Certified Financial Planner Board of Standards Inc. has punished two more planners for inaccurately calling themselves fee-only advisers. In a list of disciplinary actions released Friday, the CFP Board said it sent letters of admonition...

Ohio firm's secret – go where the clients are

August 31, 2015

When a business wants to improve relationships with clients, sometimes the answer is to get closer to them. Literally. The financial advice firm Carnegie Investment Counsel has done just that. Over the last several years, they've moved from...

Finra sweep homes in on conflicts in broker pay

August 20, 2015

Finra is taking a closer look at potential conflicts of interest in how firms pay their brokers. In a targeted exam letter, the Financial Industry Regulatory Authority Inc. queries firms about a broad range of compensation practices, from the...

RCAP to focus on cost-cutting at Cetera

August 7, 2015

Now that RCS Capital Corp. has dumped its wholesaling business, the company can better focus on the 11 broker-dealers and 9,500 financial advisers that make up its Cetera Financial Group, according to the company's top executives. In other words,...

Considering growing through M&A? Don't call it a 'tuck-in'

August 7, 2015

Given the massive increase of merger and acquisition activity in wealth management, and understanding the complexity and unique nature of each of these transactions, we have to ask ourselves one very important question: How did our industry...

Retiring boomers lead to increase in number of RIA firms, clients and AUM

August 3, 2015

Who says financial advisers are going the way of the dodo bird? It turns out that the need for advice is stronger than ever, thanks to the flood of baby boomers at or near retirement. The 15th annual Evolution Revolution study by the Investment...

Goldman's Lloyd Blankfein joins billionaire club

July 17, 2015

Goldman Sachs Group Inc. made hundreds of partners rich when it went public in 1999. Its performance since then has turned Lloyd Blankfein into a billionaire. The chief executive officer of the Wall Street bank for the past nine years, Mr. Blankfein...

Top-ranked adviser firms - Dissatisfaction

July 1, 2015

The 2015 edition of the annual J.D. Power U.S. Financial Advisor Satisfaction Study found a sense of dissatisfaction among some brokerage firms' financial advisers, which can largely be attributed to two key components: compensation and lackluster...

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...

June gloom looms for stocks: A buying opportunity?

June 1, 2015

June has been a bad month for stocks and this year looks to continue the pattern. June gloom looms. Should you buy any dips? What are U.S. fund managers up to? Tweaking portfolios Oil, oil everywhere. This month's OPEC meeting could be huge....

The continuing growth of the RIA channel, by the numbers

May 31, 2015

Market appreciation alone doesn't explain the continuing growth of the RIA channel. Overall, there was a 21% increase in the total assets under management of all included firms in the InvestmentNews RIA Data Center, from $1.1 trillion at the...

The top RIAs pose strong competition to large brokerages

May 31, 2015

When Veritable founder Michael Stolper was working at Kidder Peabody & Co. in the early 1980s, he found that sometimes the best advice for clients was to do nothing. But that wasn't very lucrative, since his income depended on commissions. So...

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...

Attrition and breakaways have shrunk head counts at wirehouses

May 17, 2015

When Morgan Stanley bought Smith Barney from Citigroup Inc. in 2009, it created the largest brokerage force in the industry with more than 20,000 of what the company referred to in a press release as “high-quality” financial advisers. The...

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