Results for "Jeff Benjamin"

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Fiduciary Network posts a 'for sale' sign

July 19, 2018

Fiduciary Network, a Dallas-based consolidator of advisory firms, has become the latest organization in the space to test its value on the open market. Published reports confirmed what had been rumored for months: The 11-year-old business established...

Focus Financial raises goal for IPO to $600 million

July 17, 2018

Focus Financial Partners' announcement Monday that it plans on raising six times as much money — $600 million instead of its original $100 million — in an initial public stock offering is another endorsement of the registered investment...

$1 billion in assets? For some RIAs, it's not as good as it sounds

July 16, 2018

Be careful what you ask for. New research shows that once advisory firms reach $1 billion in assets, they face new challenges they may not have anticipated. A new study from Cerulli Associates claims that once a firm reaches that milestone,...

Alphabet soup is hot, and clients will pay more for those letters

July 16, 2018

Say what you will about the expansive alphabet soup of financial-planning credentials and designations, but new research shows consumers are migrating toward those advisers with letters listed after their names. "We found that consumers value...

8 ways advisers are preparing clients for the second half of 2018

July 9, 2018

The stock market is positive for the year, unemployment is low and the economy is solid. But with the Fed raising rates, the looming threat of a global trade war and the upcoming midterm elections to factor in, financial advisers are showing...

Nuveen's Bob Doll takes stock of his 2018 predictions

July 6, 2018

Nuveen’s chief equity strategist grades himself as being on track for seven out of his 10 predictions, with the rest being dubbed “too soon to tell.” Bottom line, 2018 is shaping up to be a good year for the economy and the financial markets....

Fee pressure driving asset managers into wealth management

July 5, 2018

Faced with withering competition that is forcing asset management fees lower, mutual fund companies are branching out into portfolio modeling and invading the wealth management business, according to a new study from Cerulli Associates. "The...

10 mutual funds worthy of July Fourth fireworks

July 3, 2018

While the S&P 500 Index barely kept its head above water over the first six months of the year with a gain of 2.65%, the 10 best-performing domestic equity mutual funds can blast the fireworks in celebration of some really strong performance....

J.D. Power broker satisfaction survey results

July 3, 2018

J.D. Power set out to uncover which brokerage ranks highest in job satisfaction among employee advisers with its 2018 U.S. Financial Advisor Satisfaction Study, based on survey responses from 3,227 advisers during the first four months of 2018....

New digital Fidelity platform will let consulting firms bid for adviser projects

July 2, 2018

Fidelity Clearing & Custody Solutions is preparing to roll out a digital referral program to connect financial advisers with a range of industry consulting services, including marketing, technology and regulatory guidance. The platform, which...

J.D. Power survey: Advisers rate best IBDs

July 2, 2018

Which independent broker-dealers provide financial advisers with the most satisfaction? J.D. Power set out to answer that question with its 2018 U.S. Financial Advisor Satisfaction Study, based on survey responses from 3,227 advisers during...

Advisers take a short-term view of trade skirmishes

June 29, 2018

Heading into a week that includes the July Fourth celebration, it would be easy to overlook or ignore the impact of a potential trade war between the United States and several global trading partners. But savvy financial advisers are paying...

Edward Jones, Commonwealth Financial top J.D. Power list of top brokerage employers

June 28, 2018

When it comes to workplace satisfaction among broker-dealers, some firms stand out from the pack. According to the latest research from J.D. Power, Commonwealth Financial, Raymond James Financial and Cambridge Investment Research fill the top...

Upstart RIA uses access to alternatives to recruit advisers

June 28, 2018

A fledgling New York-based financial advisory firm aims to make a big splash as a consolidator by baiting the hook with access to sophisticated investments. Third Seven Advisors, which has absorbed two advisory practices for a total of nearly...

Trap Kloman to become president and COO of Commonwealth Financial

June 27, 2018

Rich Hunter, the president and chief operating officer of Commonwealth Financial Network, the nation's largest independent registered investment adviser/independent broker-dealer, is stepping down from the position. Managing principal and chief...

Private-equity veterans build $2 billion advisory firm from scratch

June 26, 2018

The wealth management space has become an attractive target of deep-pocketed private-equity investors, but rare is the private-equity investor launching a financial advisory firm from scratch. Enter Cresset Capital Management, a 1-year-old Chicago-based...

Buzz Aldrin dust-up highlights the challenges facing older clients

June 25, 2018

Financial advisers working with elderly clients should take heed of the legal brouhaha involving former astronaut Buzz Aldrin and two of his children. Mr. Aldrin, 88, who set foot on moon during the 1969 Apollo 11 mission, has gone to court...

From asset manager to holistic planner

June 22, 2018

As the financial planning industry continues to feel pressure from low-cost digital advice platforms, some advisory firms are embracing the concept of holistic planning as a means of taking the focus away from pure investment management. That's...

Advisor Group acquires Signator Investors and plans on folding it into Royal Alliance

June 21, 2018

Advisor Group will acquire Signator Investors, a dually registered broker-dealer and investment adviser with more than 1,800 advisers overseeing approximately $50 billion in assets. Advisor Group said it plans on rolling Signator, which is owned...

Merrill Lynch fined $42 million for misleading customers

June 19, 2018

Merrill Lynch, Pierce, Fenner & Smith agreed to pay a $42 million penalty for misleading institutional customers about how it handled their trading orders, according to a report from the Securities and Exchange Commission. The SEC's order stated...

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