Displaying 8970 results
RIAs need to get past their fear of asking for referrals
Research shows most new clients come directly from referrals from existing clients, yet most advisors are reluctant to ask for referrals.
Sometimes mothers do know best
Rising women advisors apply their mothers' and mothers-in-laws' advice to grow their careers.
SEC steps up intensity of cybersecurity oversight
Investment advisors and brokerages shouldn't wait for final regulations to shore up their cyber defenses, experts say.
Organic growth in the RIA space is fading away
David DeVoe challenges the industry to refocus on organic growth, but not just for growth's sake.
InvestmentNews honors Stifel’s Alex David at sixth annual DEI Summit
Six firms and 15 individuals were recognized for their contributions at the event in New York City Wednesday.
LPL adds long-time Advisor Group advisor with $220 million
Michelle Brennan Hall had been registered at FSC Securities since 1989.
Wells Fargo team with $1 billion jumps to RIA
The Compass Group advisors are joining DayMark Wealth Partners, a Cincinnati, Ohio-based RIA with $907 million in assets.
Creating an equity ownership track: Look before you leap
While the economics have to work for the owners and partners of the firm, they have to make sense for the next-gen advisors, too.
Tax expertise opens the door to wealth advisory careers
Accounting firms are expanding rapidly into wealth management. But can tax and audit experts transition to financial advisory careers?
Unflinching guidance is your ultimate fiduciary duty
The longer the bear market continues, the more likely your clients will be to abandon their financial plans, sell their growth assets, and potentially impair their financial futures.
Advisor Group B-D snares RBC advisors with $250 million in client assets
Minnesota-based Tom Delich had worked at RBC for almost 23 years; he and his team are joining Financial Dimensions Group, a unit of Royal Alliance Associates.
Riskalyze rebrands as Nitrogen
The company's new name reflects its evolution from measuring client risk tolerance toward offering a broader suite of wealth management fintech.
Audits on the rise amid a resurgent IRS
If the IRS thinks a taxpayer owes money, its efforts to collect could include levying bank accounts, placing liens on their home, garnishing their salary, and even refusing to issue a passport.
Psychological factors keep advisors from growing assets: Study
A notable 43% of financial advisors worry about being perceived as 'pushy' when they're trying to grow their businesses.
10 IBDs with the highest portion of female reps in 2022
Women are underrepresented in the advice industry, but at some independent broker-dealers, they make up a significant portion of the producing reps.
The Bud Light case for ESG
The 'anti-woke' crowd found a boogeyman in Anheuser-Busch just as it has with ESG broadly.
Merrill to pay $1.4 million over telemarketing violations
The company, which self-reported the issue, signed separate consent orders with Finra and the New Hampshire Bureau of Securities Regulation.
10 IBDs with the highest average payouts in 2022
InvestmentNews Research identifies the independent broker-dealers whose reps took home the highest average payouts last year.
Driving Business Efficiency as You Grow
As your business grows, it changes. You bring new clients onboard; current clients’ needs shift; service requirements expand. In order to ensure your firm maintains the high quality client relationships its known for, you need to establish a nimble infrastructure that’s ready to meet growth opportunities with you. Use the following framework to get started.
Goldman Sachs expands to Dallas, joining Wall Street’s latest move west
The number of finance and insurance jobs in Dallas has surged 33% in the past decade, more than double the national average.
