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Crawling up the wealth management pyramid

April 5, 2016

Where you live in the wealth management pyramid has a huge impact on your relevance to clients, your pricing and your future viability. Research shows few clients know the difference between services provided by a bank broker or an independent...

It's time to make way for next-gen

April 3, 2016

A power shift is under way in our industry. Baby boomer and next-gen advisers are like seismic plates shifting underground, with one group poised to become more powerful as the other slowly fades. This change may not happen without a volcanic...

What boomer advisers should do when their successors get impatient

March 25, 2016

A power shift is under way in our industry. Baby boomer and next-gen advisers are like seismic plates shifting underground, with one group poised to become more powerful as the other slowly fades. This change may not happen without a volcanic...

10 best ways to execute a succession plan

March 21, 2016

Holding on to a firm’s clients during a sale should be a priority for the buyer and especially the seller, since the number of clients who stay can have a direct impact on the amount of money that is paid for the practice, or book of business....

What Ron Carson learned from a billionaire client

March 9, 2016

I recently had the privilege of interviewing Ron Carson. In case you haven't heard of Mr. Carson, you should know a couple of important things about him. Not only is he the co-author of "The Sustainable Edge," he's also the founder and CEO of...

What it takes to really have a digital advisory firm

March 7, 2016

There are multiple forces of change disrupting the advice industry today. Emerging affluent investors want a more collaborative and digital experience. There's an influx of new fintech firms seemingly trying to change the industry overnight....

Steer clear of politics with clients

March 6, 2016

As political seasons go, the current presidential election campaign might seem longer, louder and more animated than most. As InvestmentNews reporter Liz Skinner pointed out in a story, the topic of politics can create a whole new level of practice...

How to beat the robo-advisers

March 2, 2016

In my last two articles, I discussed the pros and cons of robo-advisers. As they continue to rake in more and more assets, how can advisers compete? The answer is conceptually simple and seemingly difficult to implement. Advisers must embrace...

Nominate your best for InvestmentNews' 40 Under 40

March 1, 2016

InvestmentNews is beginning its search for the best and brightest among the advice industry's up-and-comers. We're counting on you to help us out. If you know a superstar adviser who will be 39 or younger on June 20 — someone who really stands...

Best practices for developing a new adviser

February 29, 2016

Whether for growth or succession, many advisers are wooing the limited number of new advisers coming into the industry. Far too often, though, young associate advisers leave a firm within three years, in part to learn, grow and develop; if you're...

Hosting radio shows helps advisers attract clients

February 28, 2016

Marc Freedman, chief executive of Freedman Financial in Peabody, Mass., got his start in radio in 2012. He paid $2,000 a week to host an hour-long, live call-in show every Sunday at 4 p.m. on a major talk-radio station in Boston, 96.9 FM. As...

Boost in SEC examiners to enable closer scrutiny of RIAs

February 21, 2016

The typical registered investment adviser may have let out a howl of fear and loathing when he picked up a recent issue of InvestmentNews and read that the Securities and Exchange Commission was planning to increase its number of RIA examiners...

Wall Street strategists cutting bait on their 2016 market predictions

February 9, 2016

The year is only 39 days old, but top Wall Street strategists have already lost faith in their bullish estimates for the S&P 500 in 2016. Why strategists are losing their resolve. Three stocks that are staples in the Oracle of Omaha's portfolio...

Which personality test will best help you hire the right candidate?

February 8, 2016

Before choosing a personality test to give to employee candidates or new hires, make sure the tool will reveal something useful. For advisory firms, three favorites of Beverly Flaxington, principal at adviser coach The Collaborative, are the...

You may not be hiring the right position for growth

January 27, 2016

Financial advisory firms that have experienced growth say staying ahead of the curve from a staffing perspective is the best way to be prepared for new assets and clients, which tend to come in spurts. But knowing which area to make the first...

The biggest adviser moves for the fourth quarter 2015

January 25, 2016

2015 was a busy year for adviser movement, according to the InvestmentNews Advisers on the Move Database. In the fourth quarter alone, over $26 billion in assets under management changed firms, totaling 63 teams of advisers. In the graphics...

Form ADV deserves your attention

January 24, 2016

It's that exciting time of year for many advisers. You're probably thinking tax time, but there's something even more scintillating: the annual filing of Form ADV. All kidding aside, this yearly ritual may seem tedious, and those who use outside...

How to calculate a fair salary for a new hire

January 19, 2016

Knowing what to pay a newly hired adviser, paraplanner or client service rep requires advisory firms to use many sources to get the salary right for what a new hire should earn. Those resources include discussions with local firms, an analysis...

4 adviser recruiting predictions for the year ahead

January 13, 2016

It's time for me to give my 2016 predictions for the wealth management industry, with a focus (obviously) on recruiting: 1. The trend of substantive wirehouse teams departing the wirehouses for "anything but a big firm" will continue. My own...

What to do when a colleague's cognitive skills are deteriorating

January 8, 2016

As human beings we encounter ethical choices frequently as we go about our daily lives. Do we tell the clerk at the grocery store he undercharged us for the organic bananas when he mistook them for ordinary ones? Do we return the extra five...

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