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5 ways elite RIA firms set themselves apart from the competition

August 4, 2016

Last year a majority of advisory firms saw their revenue levels stall, but a group of registered investment advisers increased their revenue by 23%, according to the new 2016 Elite RIA Study, produced by InvestmentNews Research and BlackRock....

DOL overtime rule could raise employment costs for support staff

July 27, 2016

A Labor Department regulation that will go into effect later this year could increase employment costs for some financial advice firms, possibly forcing them to limit excess employee hours or curtail hiring plans. Under the DOL regulation, any...

Why aren't there more women fund managers?

July 24, 2016

If you're looking for comforting news about the great strides women have made breaking into investment management, you won't find it here. Men still overwhelmingly dominate the field. But the inroads that women have made in money market funds...

How advisers can use technology to avoid burnout

July 19, 2016

Technology has a way of making us work harder. We're reachable 24 hours a day and can handle multiple projects at a time. Yet, our human brains and bodies are not made to run nonstop at full speed. I've learned a few tricks for creatively using...

5 steps to elevate the next generation

July 13, 2016

As an independent firm grows, the role of an owner evolves from being a player on the team, to leading and managing an organization. Eventually, size and complexity will drive the need for greater professional management to help drive the owner's...

6 employee perks to help advisory firms win the war for talent

July 8, 2016

Financial compensation alone isn’t going to help advisory firms attract and retain the best advisers and staff. But a workplace that offers employees benefits that show owners care about their workers’ health and spirits just might, especially...

Why financial advisers should focus on readiness before growth

June 30, 2016

It seems that the goal of every advisory firm is growth. Whether the objective is greater AUM or more revenue, growth is the most sought-after attribute. Yet, is it right to focus on growth before readiness? Growth can come through passive or...

Advisory firms using creative job titles to attract clients, staff

June 28, 2016

Financial advisory firms are starting to embrace the trend of using job titles that reflect the spirit of the position. Think Google's "chief happiness officer." But advisory firm executives aren't just implementing creative titles for the C-suite....

Women to Watch 2016: Nominations open for female leaders of the advice industry

June 19, 2016

When you launch something new, you can only hope it takes off the way you envision. Our Women to Watch initiative did just that — and then some. After announcing our call for nominations last July, we received more nominations than we expected....

Adviser's Consultant: Create work environment that makes greatest employees want to stay

June 6, 2016

Clarissa Hobson knows that the best way to hold on to her firm's star employees is to provide flexibility that offers them the chance to enjoy fulfilling lives outside the office. “To some degree it's generational, but even interns today ask...

RIAs are losing their competitive advantage

June 5, 2016

Registered investment advisers need a new card up their sleeve. For years, RIAs have marketed themselves as being a cut above their counterparts in the brokerage industry. While they followed a fiduciary standard, requiring them to act in their...

The time is now for young financial advisers

May 29, 2016

After graduating from college, Eric Roberge worked at two investment banks and then four different advisory firms within five years, unable to find a company where he felt comfortable. After he decided to start his own firm, he was forced to...

Adviser's Consultant: Be creative when hunting for new clients

May 16, 2016

Scott Hanson remembers handing out fliers during the early days of the advisory firm he co-founded 23 years ago. Sacramento, Calif.-based Hanson McClain began growing by targeting a specific big employer in the area that was downsizing. It became...

What to do when a disgruntled client still owes a financial planning fee

May 5, 2016

This month's question comes from an adviser who has a tough client issue. Q: I need your opinion about how to handle a disgruntled client who still owes me part of my planning fee. The client is an elderly woman who came to me after trying to...

Activities every financial adviser should delegate to someone else

May 5, 2016

If you're a financial adviser and you feel overwhelmed by all the things you have to get done or you feel like you're on the verge of burnout from working long days for weeks or months in a row, then there's a good chance you're suffering from...

Robo-advice is slowing, some even say it's dying

May 5, 2016

Good news for all those living, breathing human financial advisers: The robo-advice movement is losing steam. Direct-to-consumer robo-advice may be dying. Here's what lit up the Google searches as Donald Trump became the last Republican candidate...

From the C Suite with RBC's John Taft: It isn't enough just to get up and work

April 25, 2016

John Taft is contemplating how to make a difference in what he calls “the next chapter” of his life. At 61, the chief executive of Royal Bank of Canada's U.S. Wealth Management division is retiring at the end of May. Anything from writing...

Get the most out of your next staff retreat

April 19, 2016

Many financial advisory firms find getting together to talk business away from the office can spark innovative solutions to problems and make colleagues more cohesive. “Being completely away off-site fosters creativity and helps you think...

Solving operational issues from M&A transactions

April 18, 2016

As the wealth management industry continues to age, the number of advisory firms that will be transitioned due to succession planning or principal retirement is expected to increase dramatically. In fact, 2015 was the largest year on record...

How advisory firms can enhance their performance benchmarking skills

April 13, 2016

Benchmarking is an important part of planning for the success of your business. Currently, we use expected financial results as a tool to exercise good managerial sense and assess risk. However, advisory firms struggle to make accurate statements...

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