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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...

Steward Partners nears $5B as it continues to recruit wirehouse reps

January 3, 2017

The first hurdle for any wirehouse rep hoping to join Steward Partners Global Advisory is the “no-jerk policy,” which company founders say is more important than experience or assets under management. “We want great people, first, who...

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,...

Adviser relief follows judge's injunction of overtime pay rule

November 23, 2016

Tuesday's injunction against the Labor Department's rule to pay overtime to more than four million lower-salaried workers has relieved some in the financial advice industry. “We have had a number of concerns with the rule and its impact on...

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...

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...

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 have grown larger than ever, leading to a decrease in professional productivity

October 26, 2016

For the second year in a row, professional productivity has declined at the typical advisory firm: it is down 21% from a 2013 high, and lower than it was in 2011. In the 2016 InvestmentNews Financial Performance Study, conducted in partnership...

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...

Irrational business decisions advisers don't even know they're making

August 26, 2016

We've all witnessed the rise of behavioral finance, which uses psychological theories to provide explanations for why people make irrational financial decisions. It's intriguing to try to understand just why clients sometimes make poor financial...

Adviser's Consultant: Building diversity at firms makes business sense

August 24, 2016

Marguerita Cheng said for the bulk of her clients, she is the first adviser they've ever seen. About half of the families that Blue Ocean Global Wealth serves are ethnically diverse, and she's most confident that these clients won't be walking...

5 ways elite RIA firms set themselves apart from the competition

August 4, 2016

Last year a majority of advisory firms saw their revenue levels stall, but a group of registered investment advisers increased their revenue by 23%, according to the new 2016 Elite RIA Study, produced by InvestmentNews Research and BlackRock....

DOL overtime rule could raise employment costs for support staff

July 27, 2016

A Labor Department regulation that will go into effect later this year could increase employment costs for some financial advice firms, possibly forcing them to limit excess employee hours or curtail hiring plans. Under the DOL regulation, any...

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