Results for "Jeff Benjamin"

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Advisers ignore 'responsible investing' at their own risk

November 17, 2017

Financial advisers might be missing a big asset-gathering and client-satisfaction opportunity if they aren't familiar with the nuances of "responsible investing" trends, according to Marcus Valesco, managing director in the Wealth Management...

RIA valuations too specific to base on other sales

November 15, 2017

Financial advisers looking to catch a ride on the consolidation wave by putting their firm up for sale should be open to the reality that valuations are often more art than science. "Stay out of the valuation trap by worrying less about what...

Fidelity's David Canter weighs in on the future of the broker protocol

November 13, 2017

Morgan Stanley's recent decision to exit the Protocol for Broker Recruiting agreement has raised questions across the financial services industry about what comes next for financial advisers and their clients. InvestmentNews spoke with David...

Measuring the 'Trump rally' against past presidents

November 9, 2017

The best and worst post-election stock market rallies from Dwight D. Eisenhower to Donald J. Trump. Since election day, the stock market has been on a tear, including a 15.7% gain by the S&P 500 Index so far this year. But, tracking the performance...

Philip Palaveev on how firms should be recruiting young talent

November 7, 2017

There's a lot more to succession planning than just hiring younger advisers, but some registered investment advisers aren't even doing that part right. Philip Palaveev, founder and chief executive of The Ensemble Practice, describes why it's...

Breakaway broker deals a drag on M&A activity in third quarter

November 7, 2017

A recent slowdown in the pace of reps leaving brokerage firms is seen as largely responsible for the sudden dip in merger and acquisition activity in the advisory space, according to the latest report from DeVoe & Co. The question now, is whether...

Tax reform: Advisers spy loopholes in proposed pass-through tax rules

November 6, 2017

Financial advisory firms might feel snubbed by the House's tax-reform package that specifically excludes such service-sector businesses from a lower tax rate, but that doesn't mean advisers and tax planners won't be busy helping their business-owner...

Fintech firms to use dark web to improve cybersecurity for advisers

October 31, 2017

The financial services industry has found its way onto the dark web. Just don't call it the dark web. "We're the new internet, which is like a layer on top of the internet," said Aaron Spradlin, co-founder and chief executive of CleverDome,...

Did Morgan Stanley just kill the broker protocol agreement?

October 31, 2017

Morgan Stanley's decision to walk away from the brokerage industry's protocol agreement "overnight, increased the risk of other brokerage firms likely pulling out of the agreement," said Brian Hamburger, chief executive of compliance consulting...

UBS scales back recruitment loans, boosts profits

October 27, 2017

More than a year after committing to cut spending on brokerage rep recruiting, the results are hitting the bottom line at UBS Wealth Management Americas. The question remains, however, of whether the short-term spending cuts will have any longer-term...

Morningstar's adviser-sold 529 plans: The good, bad and ugly

October 26, 2017

Of the 11 adviser-sold 529 plans, Morningstar rates two as silver, seven as bronze, and two as negative. The ratings are based on quality of investment options, the asset allocation process, oversight from both the state and the investment manager,...

Private equity firm Thomas H. Lee Partners buys stake in HighTower

October 25, 2017

This story has been updated with comments from industry consultants and additional quotes from Elliot Weissbluth. HighTower has announced plans to sell a "significant stake" of its sprawling advisory business to private-equity investor Thomas...

Ric Edelman looks into the future of financial advice

October 24, 2017

Here are some high notes from Ric Edelman's latest book, "The Truth About Your Future: The Money Guide You Need Now, Later, and Much Later" (Simon & Schuster, 2017). Expect to live longer, work longer, and get more free stuff, says the the executive...

Favorite fund companies of fee-based advisers

October 23, 2017

Despite the growing trend toward passive, indexed investing, fund companies known for active management topped the list of favorites among a survey of 1,355 fee-based financial advisers. Source: Cogent Reports.

TD Ameritrade triples time before it charges fees on popular ETFs

October 23, 2017

Responding to feedback from financial advisers upset about the removal of some popular ETFs from its no-transaction-fee platform, TD Ameritrade is tripling the amount of time it will allow advisers to continue trading Vanguard and iShares Core...

E*Trade gains a foothold in the RIA space, but it is going up against bigger competitors

October 20, 2017

E*Trade Financial Corp.'s acquisition of Trust Company of America is seen as a solid endorsement of the strength and profitability of the financial advisory business. The $275 million deal to buy the $17 billion-asset Denver-based custodian,...

7 trends of latest RIA mergers

October 19, 2017

A nine-year bull market has driven up assets under management and fueled a feeding frenzy for firms looking to buy a piece of the RIA space. Click through to see where records are being set and which players are gaining ground. Source: 3Q17...

Advice firms need to invest in training and staff development

October 14, 2017

It's no secret that the advice business is having trouble finding new talent to replace retiring advisers, but a new study from InvestmentNews shows just how much that is hurting the financial health of advisory firms. Because firms can't hire...

Advice firms in a tricky financial position

October 14, 2017

Efficiency will have to become the new mantra at independent financial advisory firms as revenue continues to slide and compensation climbs. Median annual revenue growth for advisory firms, which has been trending downward since peaking at 16%...

Employee retention linked to career paths and training

October 14, 2017

As competition heats up among independent advisory firms for both clients and financial advisers, training and guided career paths are emerging as crucial components of recruiting and keeping advisers on board. Yet at a lot of advisory firms,...

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