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Advisers push retired clients to embrace investment risk

May 7, 2018

As the baby boom generation continues to transition into retirement, financial advisers are facing the increasingly common challenge of clients who become overly conservative with their investments once they stop working. "It's a weird mental...

Time: An asset to be invested, not spent

May 7, 2018

The investment advice industry is a constantly evolving ecosystem. Few trends, however, are as pervasive as the secular shift from commission-based compensation models to asset-based fee structures. The future of the fiduciary rule may be uncertain,...

Building a team can help advisers build their practice

May 4, 2018

Teaming up with other advisers or practitioners — like attorneys, estate planners and accountants — offers compelling benefits to financial advisers, in the form of broader specialization, attraction and retention of more clients. Generally...

Q&A: Aaron Schaben on being Ron Carson's heir apparent

May 3, 2018

Earlier this year when Aaron Schaben was invited into the board room at Carson Group as an executive vice president, it was founder Ron Carson's way of signaling to the industry that succession planning is serious business. Mr. Schaben, a 32-year-old...

Redefining efficiency in your business

May 3, 2018

There is no question that a few core concepts are fundamental to efficiency in any business: • Documented processes addressing the most effective sequence of tasks to complete everything a firm does are a logical first reaction when thinking...

How to attract high-net-worth clients

May 3, 2018

In a financial advisor's perfect world, their book of business would contain many high-net-worth (HNW) clients. Unfortunately, this is often not the case. While it sounds ideal to have a book full of HNW clients, attracting and retaining them...

Advisers must align a client's portfolio with these 3 personal risk measures

May 2, 2018

What can happen if an adviser doesn't properly align a client's investment portfolio with their risk tolerance? They could lose clients or even face a lawsuit, said Michael Kitces, partner and director of research at Pinnacle Advisory Group....

The Super Bowl, advice and the markets

May 2, 2018

Super Bowl 52 was nothing short of spectacular. The New England Patriots, stacked with Tom Brady and Bill Belichick, looking to win a sixth Super Bowl and make history in front of our eyes … against the Philadelphia Eagles. Phila-who? The...

AXA loses $150 million team to Ameriprise

May 2, 2018

Charles Gemmer, who managed $150 million with three other advisers at AXA Advisors, has affiliated with the franchise unit of Ameriprise. Joining Mr. Gemmer at Gemmer Wealth Management, based in Indianapolis, Ind., are Brent Gramman, Ronan Marra...

Key to turning DIY investors into clients: Get specific

May 1, 2018

Financial advisers looking for new clients might consider fine-tuning their marketing efforts to help them stand out, especially when it comes to wealthy do-it-yourself investors. According to an InvestmentNews Research report, the wealthy DIY...

The next generation of advisers don't just want a job – they want inspiration

April 30, 2018

With the age of the average independent adviser remaining stubbornly high, firms that support these professionals have become more resourceful and focused in reaching out to the younger generation. From supporting more CFP programs at the college...

Why your top producers aren't happy

April 26, 2018

The J.D. Power 2017 Advisor Satisfaction Study contains a counterintuitive finding: There's an inverse correlation between top advisers and their overall satisfaction: "Higher producers are the least satisfied employees," according to the report....

Financial advisers need steady learning to keep earning

April 26, 2018

It's time for financial professionals to become a profession in substance, not just in name. The Securities and Exchange Commission proposed new rules for brokers and financial advisers last week. Observers have understandably focused on the...

Advisers still have a really big succession problem

April 25, 2018

Financial advisers continue to find succession planning difficult, with 73% not having a written plan in place, according to a new study by the Financial Planning Association and Janus Henderson Investors. The results, little changed from a...

UBS snags Wells Fargo vet for wealth management exec role

April 24, 2018

UBS Wealth Management has recruited Heather Crist as its new chief of staff for global wealth management, according to an internal memo obtained by InvestmentNews. Ms. Crist comes from Wells Fargo Advisors, where she worked for 28 years and...

Why being a great financial adviser is not enough

April 23, 2018

In true entrepreneurial fashion, most financial advisers excel at the technical side of their business — financial planning, investment management and other areas — yet wallow in a bastion of mediocrity when it comes to running their businesses....

A visit to India and the world's largest startup

April 19, 2018

I recently spent a week in four cities across India. The trip lived up to all my expectations: The Taj Mahal was stunning, Old Delhi chaotic, Jaipur majestic, and Mumbai vibrant. The highlight, however, was not geographic, but commercial. Our...

MML loses $294 million team to Ameriprise

April 19, 2018

Ryan Lambert, who heads a team that includes five other advisers and managed $294 million in assets at MML Investors Services, has joined the franchise channel of Ameriprise. The team includes advisers Cheri Amsden, Daniel Miller, James Phillips,...

Brokerage firms can improve diversity by making it a priority

April 17, 2018

If firms want to get serious about being a more diverse and inclusive place to work, they need to start treating diversity like they would any other business priority. That was the key recommendation from Anne Robinson, managing director and...

Funding The Right Investments At The Right Time

April 16, 2018

Planning for the future requires setting goals. Whether it's preparing for college tuition payments for the next four years, saving for a second home in retirement, or something else entirely, every client will have a range of imminent and distant...

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