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Wirehouses escape the worst of the DOL fiduciary rule

May 22, 2016

While many financial advisory firms have hunkered down, unwilling to talk about the impact of the disruptive Labor Department fiduciary rule, the wirehouses have sought to reassure their shareholders that the sky is not about to fall. Bank of...

REITs to get own classification on major indices

May 10, 2016

Coming this August, major market indices will give REITs their own classification called "real estate." REITs currently are bundled inside of “financials." There's a growing consensus that pursuing a CFA instead of an MBA makes more economic...

Activities every financial adviser should delegate to someone else

May 5, 2016

If you're a financial adviser and you feel overwhelmed by all the things you have to get done or you feel like you're on the verge of burnout from working long days for weeks or months in a row, then there's a good chance you're suffering from...

Adviser with $663 million in AUM leaves U.S. Trust to go independent with Wells Fargo Advisors Financial Network

March 18, 2016

Most of Jim Murray's clients are business owners, and after more than a year of self-evaluation, he decided he wanted to be one, too. On March 10, Mr. Murray opened his own investment advisory firm, GuideStar Private Wealth Management. It will...

How brokers can navigate consolidation in the B-D industry

February 4, 2016

Financial advisers today face more uncertainty and potential headwinds than ever before — the Department of Labor's pending fiduciary ruling, rising technology and compliance costs, and increased regulatory scrutiny are just a few of the significant...

Survey: African-American investors optimistic

February 3, 2016

African-Americans are more bullish on the stock market than they have ever been, but they're still not investing enough, according to the most recent Ariel Investments Black Investor Survey. The poll of 500 whites and 500 blacks taken between...

4 steps to take to make sure you win with clients in 2016

December 21, 2015

As another unusually active year comes to a rapid end, let's look forward to 2016 and imagine what the industry should anticipate in the year ahead. In 2015, the stock market fluctuated along to a flat year. Indexing ruled, with a small group...

Sheryl Garrett on the importance of making impartial financial advice accessible to all

November 22, 2015

Sheryl Garrett loves financial planning now, but it took 11 years' working in the industry for the passion to bloom. The founder of the Garrett Planning Network first spent a couple of years as a broker, where she learned she hated selling products....

3 reasons the time is now for big breakaways

November 2, 2015

The number of large teams breaking away and starting their own independent advisory firms has been rising. Scott Highmark of Mosaic Family Wealth likes to compare this trend to the growth of the craft beer industry. Craft beers, like breakaways,...

From the C Suite with Janney's Timothy Scheve: Patience really is a virtue

October 21, 2015

The young Timothy Scheve dreamed of being an architect, a profession that blended science with more creative passions. Trouble is, even after earning a college degree in the subject, he just wasn't any good at it. Plan B was business school,...

$258M UBS team goes independent with Wells Fargo FiNet

October 14, 2015

A team of financial advisers have parted ways with UBS to join a Wells Fargo Advisors Financial Network practice in Irvine, Calif. Curtis Rach and Jud Crary, former senior vice presidents of wealth management at UBS in Irvine, resigned from...

Advisers seek independence, but less often as entrepreneurs

October 8, 2015

Going it alone isn't nearly as attractive for financial advisers as it used to be. Today, financial advisers are more likely to join an established RIA than to create their own independent advisory firm, a new report by Cerulli Associates found....

FPA aims to connect advisers with business help in Boston this weekend

September 25, 2015

Financial advisers are gathering in Boston this weekend to learn how to unlock the value in their business, help clients with diminished mental capacity and pick up a few tricks to improve their firm operations and service. The Financial Planning...

Adviser's Consultant: Hiring the best employees requires teamwork

September 17, 2015

It take a village to bring together the best people to staff an advisory firm, said Sabrina Lowell, financial adviser and chief operating officer of Mosaic Financial Partners. Building her firm's roster from seven when she arrived in 2002 to...

Retiring boomers lead to increase in number of RIA firms, clients and AUM

August 3, 2015

Who says financial advisers are going the way of the dodo bird? It turns out that the need for advice is stronger than ever, thanks to the flood of baby boomers at or near retirement. The 15th annual Evolution Revolution study by the Investment...

I took the test, I talked the talk. Now you can call me a CFP!

July 21, 2015

I didn't think this day would ever come, but on July 15, I received an email from the Certified Financial Planner Board of Standards Inc. that said: “Congratulations! You are now a certified financial planner.” I completed the financial...

How to attract clients with a female-friendly culture

July 21, 2015

At The Advisor Center, we help financial advisers dissect their businesses in an effort to help them find new affiliations, broker-dealers or RIAs. Going through this exercise, advisers often find they don't actually need to move to improve....

7 reasons why financial stewardship is more valuable than a fiduciary standard

July 15, 2015

With the recent release of the Labor Department's re-proposed fiduciary definition, a lot of fiduciary advocates are concerned that “fiduciary” will become a de-minimus standard. It will become a floor, not a ceiling — a bronze, not a...

HBO's 'Ballers' and its star, 'The Rock,' play fast and loose with the financial advice industry

July 8, 2015

Dwayne "The Rock" Johnson has played the role of a wrestler, a security agent, the tooth fairy, soldier, the Scorpion King and Hercules. Now he's playing a financial adviser. In the latest HBO television series, "Ballers," Mr. Johnson's character,...

Banks are cutting broker-dealer units from their 'living wills'

July 8, 2015

The nation's biggest banks are lumping their broker-dealer units in with other 'non-essential' operations. In appeasing regulators, banks show B-Ds where they rank. In case of emergency, dump the securities operations The bear has found China....

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