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Women advisers driving revenue growth

May 29, 2018

Even though women make up a small but growing percentage of financial professionals, their influence has the potential for a disproportionate impact on the overall financial planning industry. New InvestmentNews research found that advisory...

Advisers: Technology alone won't transform your business

May 29, 2018

Technology isn't the magic wand for financial advisers hoping to expand their practices beyond portfolio management services. New tools and platforms can add significant value if used correctly, but most financial advisers are taking the wrong...

For recent Temple grad, career as a financial adviser is a dream job

May 29, 2018

This is another in a series of stories about recent college graduates and their first job in the financial advisory profession. Few 22-year-olds know exactly what kind of career they want, but Kelly Bradley feels like she already has her dream...

Internship led to full-time job with Merrill team in Boston

May 25, 2018

This is the first in a series of stories about recent college graduates and their first job in the financial advisory profession. Joel Guerrero figures he has three skills that will help him become a successful financial adviser. He enjoys finance,...

Why advisory firm founders and successors can't get on the same page

May 25, 2018

"A man learns something carrying a cat by the tail that he can learn in no other way." With this quote Mark Twain insightfully illustrates a powerful point: Experience is the best teacher, though it's not always kind or gentle to the student....

From the C Suite with ProVise's Ray Ferrara: The best leaders know when it's time to follow

May 23, 2018

Ray Ferrara thinks he works too hard and, as a result, he sometimes pushes those working with him to also work too hard. But he's determined to try and set a better example of a healthy work-life balance at ProVise Management Group. We sat down...

How 401(k) advisers can increase their fees

May 23, 2018

It seems that the race to the bottom for 401(k) and 403(b) advisory fees will not slow down anytime soon. But some plan advisers have found a way not only to halt the trend, but actually increase fees. The first step advisers can take to maintain...

What one thing would you do to assure your firm is competitive for the next decade?

May 22, 2018

At the Icons & Innovators award ceremony held at the grand University Club in New York City I had the privilege of sharing a panel with lions of the industry: David Booth, founder of Dimensional Fund Advisors, Ken Fisher, founder of Fisher Investments,...

Connecticut RIA adds adviser managing $300 million

May 22, 2018

Procyon Partners, a Shelton, Conn.-based RIA firm, has hired portfolio manager Antonio Rodrigues, who managed $300 million in client assets at Olson Mobeck Investment Advisors. Earlier, Mr. Rodrigues was with People's United Advisors, Procyon...

When skewed super-OSJ priorities raise red flags for retirement plan advisers

May 21, 2018

Retirement plan-focused financial advisers have always been a natural fit for the super-office of supervisory jurisdiction model. The specialized nature and large scale of their practices mean that super-OSJs that understand the retirement plan...

Why we must create a more diverse and sustainable financial planning profession

May 19, 2018

According to the Bureau of Labor Statistics, employment of personal financial advisers is projected to grow 15% from 2016 to 2026. As the population ages and life expectancy increases, the demand for financial planning advice should continue....

What do we really know about our businesses?

May 17, 2018

My wife makes fun of me all the time for my use of numbers. She says that if I declare my business has reached $1 million, this means we are at $750,000; if I say there are 30 minutes left in a boring trip, that means there are two hours; if...

What's the next act for Waddell & Reed's advisers?

May 17, 2018

The brokerage industry is frantically remaking itself. Wall Street brokers are leaving the big banks and wirehouses in droves. Independent contractor firms like LPL Financial are binging on acquisitions, while competitors like Securities America...

Advisers and clients agree: Life's better in the wealth management ecosystem

May 15, 2018

Wikipedia says an ecosystem "is a community made up of living organisms and nonliving components." A digital ecosystem is a "distributed, adaptive, open socio-technical system with properties of self-organization, scalability and sustainability."...

Culture can slip as firms grow

May 15, 2018

Scaling an advisory business is no easy task, not least because of a shortage of advisory talent necessary to fuel growth. And existential threats such as fee compression, industry consolidation, technological disruption, generational shifts,...

Seven areas where smaller advisory firms are doing better, according to employees

May 15, 2018

Below are seven statements from our "Best Places to Work for Financial Advisers" employee engagement survey where staff at small independent advisory firms (15-29 headcount) were more likely to agree, rating their organization more positively,...

Iconiq Capital co-founder leaves to start rival wealth-management firm

May 15, 2018

Chad Boeding, one of four co-founders of Iconiq Capital, has left to start a rival firm, according to people with knowledge of the matter who asked not to be identified because the departure hasn't been made public. Mr. Boeding is opening Epiq...

Video marketing: The 21st century version of judging a book by its cover

May 14, 2018

We are hardwired to judge a book by its cover, despite what our parents may have taught us. When it comes to attracting new clients, this is a wonderful truth that very few advisers leverage. In fact, most advisers are marketing their "book"...

A millennial's perspective: The frustrating misconception advisers have about building a Next Gen value proposition

May 14, 2018

Over half of all United States households are now members of a single digital platform and universal client experience. Sound impossible? In Amazon's annual shareholder report, Jeff Bezos announced the company has more than 100 million members...

Financial advisers must manage retirees' aversion to risk with behavioral finance skills

May 12, 2018

Any seasoned financial adviser already knows that the hard work of helping clients save and invest for retirement does not end with a client's retirement date. But based on where we are in terms of market cycles, advisers might soon find themselves...

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