Results for "staffing / personnel"

Displaying 517 results

Sort: Date | Relevance

Author:

6 reasons culture breaks down at an advisory firm

April 12, 2017

The culture of a firm is what makes clients and employees want to join and stay, but business growth and some other factors can threaten even the strongest firm culture, said Ben Harrison, head of business development and relationship management...

7 changes firms need to make to attract more female advisers

March 9, 2017

Women still want mentors and to see other women reach leadership positions, but other surprising workplace changes could draw more females into the financial advice industry. These seven ideas were born from a two-hour discussion by leading...

OSJs: Add Value and Increase Rep Stickiness with Well-Planned Branch Events

March 1, 2017

To attract and retain top advisors, super branches need value-add services that differentiate them from other firms. Camaraderie and peer knowledge often top the list of reasons independent advisors decide to join a branch rather than operate...

Banks, credit unions could start buying advisory practices

February 1, 2017

In September, when Salem Five Bank acquired Stumm Financial Services, it set in motion a financial advice model that could become a blueprint for other banks and credit unions, and also represents new distribution for platforms like LPL Financial....

3 ways financial advisers can get ahead in 2017

January 27, 2017

Everyone's familiar with the famous Isaac Newton quote, “If I have seen further, it is by standing on the shoulders of giants.” However, not many of us actually take his words as sound advice. Too many of us opt to rely on our own experiences...

Aspiriant's focus on scale and aggregation makes it a top-tier RIA consolidator

January 24, 2017

With $10.4 billion under advisement, Aspiriant is muscling its way toward the top tier of serious consolidators of registered investment advisers. Rob Francais, the enthusiastic CEO of the Los Angeles-based RIA, likes to reference his “100-year...

Like Trump? Hate Trump? What happens when politics bubbles up at advisory firms

January 19, 2017

Polarized political discussions are running high following the contentious U.S. presidential election, but most advisory firms are directing their employees to keep politics out of the office. Some have set a special time for employees to air...

Outlook 2017: Advisers reveal their hopes and fears for the new year

January 8, 2017

Joshua Mellberg is avoiding long-term contracts with technology providers and others until his advisory firm has judged the financial fallout of the Labor Department's rule on retirement advice, which begins to take effect three months from...

Raymond James scores a duo from Wells Fargo Advisors

December 28, 2016

Raymond James & Associates has recruited a Westport, Conn.,-based advisory duo from Wells Fargo Advisors. Lynn Grossman and her business partner, Brian Vieira, managed more than $230 million at Wells Fargo and will now be working under the leadership...

RIAs find it easy to justify spending more on technology in 2017

December 27, 2016

Technology is a necessity in the modern financial advice industry, and not staying ahead of it is essentially the same as ignoring it altogether. “There is no way we will become robo advisers, but we have to create a digital experience because...

How financial advisers can get unstuck in the New Year

December 27, 2016

Most financial advisers started their firm because they had a dream for a different life and a vision of how to get there. They're passionate, ambitious and committed to building their new venture. Fast forward a few years and, in all too many...

Mercer Advisors acquires California RIA Fabian Wealth Strategies

December 14, 2016

Santa Barbara, Calif.-based Mercer Advisors announced Wednesday morning that it has acquired Fabian Wealth Strategies, a Costa Mesa, Calif.-based advisory firm with $95 million in client assets. Mercer Advisors is the parent company of Mercer...

Aspiriant picks up $850M Silicon Valley RIA

December 12, 2016

The growth continues for Aspiriant, as the Los Angeles-based advisory firm is about to lock up its third RIA transaction in a year, with at least two more deals slated in coming months. In the latest deal, which is expected to close Jan. 31,...

Presidential election sparks awareness of gender issues

November 21, 2016

As we all know, the presidential election of 2016 was the first time a female appeared on the ballot as a major-party candidate. After a particularly hard-fought campaign, Hillary Clinton said in her concession speech, “I know we still haven't...

Ask the Ethicist: How to make a U-turn after retirement

November 21, 2016

This month's question concerns a woman who worked for many years in wealth management before retiring to an hourly consulting practice. Now she's thinking of returning to the workforce at a registered investment adviser firm. Q: I worked for...

Leadership insights from former President George W. Bush

November 3, 2016

I was fortunate to be invited to have dinner and witness a conversation with the 43rd President, George W. Bush, exactly one week before the election. Given my own sense of frustration with the candidates thrust upon us this year, it was an...

Advisory firms growing with tech, but not without troubles and false starts

October 19, 2016

Financial advice firms are using technology more than ever to improve their profitability and grow. But in practice, tech doesn't always deliver exactly as planned, advisers said. Client portals, where advisers share financial reports and use...

Nobel prize winners shine light on best compensation practices

October 11, 2016

Two American professors known partly for showing the value of performance-based compensation practices won the Nobel Prize for Economic Sciences on Monday. Bengt Holmstrom, a Harvard University professor, and Oliver Hart, a professor at the...

How big wealth management firms should treat top-performing advisers to keep them happy

October 10, 2016

In past columns, I have been critical of the big firms' inability to treat their best performers differently. I have hypothesized that the primary reason why advisers depart the employee model of the big firms to go independent is not financial...

Advisers shutter offices to brace for Hurricane Matthew's punch

October 6, 2016

As Hurricane Matthew forces evacuations in Florida, Georgia and South Carolina, financial advisers in the Southeast are preparing to test out continuity plans the Securities and Exchange Commission has been pressing them to enhance in recent...

Next Page »

1 | 2 | 3 | 4 | 5 ... 26