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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...

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...

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,...

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 embrace virtual offices

May 12, 2018

Less than a year after starting her financial planning practice in Oklahoma City in 2015, Amy Hubble was faced with a dilemma. She had been accepted to the University of Georgia to work on her doctorate in financial planning and consumer economics....

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...

Adding diversity: A man's eye view of a women's conference

May 11, 2018

I was asked to attend the 2018 InvestmentNews Women Adviser Summit in Chicago on May 2. I cautiously accepted, not sure what I was getting myself into. What do hundreds of the nation's top female financial planners talk about when they get together?...

Advisers must expand beyond financial planning for future to tackle life today

May 11, 2018

Live for today. Coming from financial advice professionals committed to planning, that message seems almost heretical. But participants in the "Innovative Adviser Roundtable" at the recent Icons & Innovators' Innovation Summit in New York believe...

Future advice business will still require human touch for clients

May 11, 2018

Technology and regulation will likely be the key forces shaping the advisory business over the next 10 to 15 years. But to paraphrase physics Nobel laureate Nils Bohr, making predictions about the advisory business is very difficult, especially...

Want to boost diversity of advisers and clients? Begin with the business case

May 11, 2018

Yonhee Choi​ Gordon's father wanted her to be a doctor or a lawyer, or to marry one. In fact, her career as a financial adviser was a decade old before he gave up on the idea of her going to law school, even though he was an accountant. "It's...

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