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Advisers use tax planning as a hook to find more clients

March 9, 2018

Most tax professionals will acknowledge that the eight weeks leading up to April 15 is the most exhausting time of year. But some financial advisers are still willing to jump into the grind of tax season because it represents a near-certain...

Global boom swells ranks of the ultra wealthy

March 7, 2018

Stronger global growth and booming stock markets have been great for the super rich. The number of people with more than $50 million of net assets rose 10% last year, the fastest pace in at least five years, according to a report published Wednesday...

Three indies bring $719 million to Securities America

March 7, 2018

A Super Office of Supervisory Jurisdiction and two independent financial services firms, which collectively manage $719 million in assets, have affiliated with Securities America Inc. The three are the Gandet Group, of Manahawkin, N.J.; Vizionary...

40 Under 40 is back — nominate your best now

March 6, 2018

InvestmentNews is beginning its search for the sharpest minds and most engaging personalities among the advice industry's up-and-comers. We're counting on you to help us find them. If you know a superstar adviser who will be 39 or younger on...

Merrill Lynch rep managing $150 million moves to Raymond James

March 6, 2018

Phil Closuit, who managed more than $150 million in assets at Merrill Lynch in Boston, has jumped to the employee unit of Raymond James & Associates. Joining him in the move is Jane Fitzwilliam, a registered associate, who has worked with Mr....

These 3 things may be keeping your clients up at night

March 5, 2018

What advisers do best is help their clients with the uncertainties of their financial lives. This year has already brought more unpredictability to the table, and many Americans are wondering if they need to reassess their financial plans. Here...

Investment technology: Can Alexa handle multi-account portfolio management?

March 2, 2018

Adviser technology can be overwhelming. Which CRM system is the best? What about financial planning software? Portfolio rebalancing tools? Is it better to use a rebalancing tool, or to outsource that work to a third-party manager — or even...

Demographic shifts push advisory firms to rethink tech strategies

February 28, 2018

A couple of years ago, InvestmentNews warned of the "great wealth transfer" that loomed on the horizon and detailed the risk it posed to advisers. The article unearthed some unsettling stats about what happens to the adviser-client relationship...

How market moves affect advisers' bottom line

February 27, 2018

Over the long run, markets rise, and​ for that reason, advisory or wealth management fees based on a percentage of assets managed are a long-term win for passively growing advisory firm revenue. While quarterly billing dilutes the effects...

Trouble with your millennial advisers? Here's what you did wrong

February 27, 2018

Something odd is going on. Why are partners at established wealth management firms sounding so alarmed about their millennial advisers? Why are they pulling me aside to complain that their young associates aren't bringing in enough business?...

Advisers should spend less time with most of their clients

February 27, 2018

I have a new client facing a common challenge. The firm has over $2.5 million in revenue, but the founder is feeling overwhelmed and unable to successfully scale the business any further. I asked some questions about the firm's client service...

Full list of 2018 Lipper Fund Awards winners

February 27, 2018

The Thomson Reuters Lipper Fund Awards winners have been announced. Lipper measures the winners by their risk-adjusted returns over multiple periods. Award winners are rewarded for consistency over time, including the top 3-year, 5-year and...

How engaging with investor relations teams can provide insights into market opportunities

February 26, 2018

Today's market environment, coupled with ongoing regulatory reform, is serving as a catalyst for global companies to develop greater connectivity with all investors, including financial advisers and wealth managers. Many companies — often...

Designing the Super OSJ of the future

February 23, 2018

At an industry event last year, I caught up with a friend who runs a prosperous independent producer group that supports both his personal book of business as well as those of other successful advisers — or what some in the profession call...

Fiduciary conduct is good for business

February 21, 2018

Investment advisers have been conditioned to think of fiduciary conduct as a compliance matter. The long-debated DOL fiduciary rule, the impending SEC fiduciary rule, Finra's recent "best interest" spin on suitability, and new fiduciary laws...

Can you delegate practice management?

February 21, 2018

Just a decade ago, I would hear advisers say: • "I want to spend my time only on seeing clients — nothing else." • "I hate anything to do with human resources because I'm not good at it." • "I don't need all that practice management...

The industrialization of asset management

February 20, 2018

Model marketplaces are popping up everywhere, like daffodils in springtime. They give advisers access to model portfolios built by asset management firms and "fund strategists." Advisers can implement the models exactly as built by their creators...

The gold medal quality advisers can no longer ignore

February 20, 2018

As the 2018 Winter Olympics continue to generate headlines around the world, I've taken notice of what these athletes must inherently possess just to qualify for the Olympics, let alone win a medal. They're the gold standard for their respective...

Morgan Stanley dropping some overseas wealth customers

February 16, 2018

Morgan Stanley told some of its international wealth-management clients to liquidate their accounts or shift to another financial institution within 30 days. "Serving the investment needs and opportunities unique to clients who reside outside...

Gun violence hits investment strategies, sparks political debates with advisers

February 16, 2018

It is perhaps a sad sign of the times when the latest episode of deadly gun violence doesn't bring a fresh wave of calls from clients seeking to screen out investments in weapons manufacturers. Financial advisers who specialize in various forms...

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