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Form ADV deserves your attention

January 24, 2016

It's that exciting time of year for many advisers. You're probably thinking tax time, but there's something even more scintillating: the annual filing of Form ADV. All kidding aside, this yearly ritual may seem tedious, and those who use outside...

How to calculate a fair salary for a new hire

January 19, 2016

Knowing what to pay a newly hired adviser, paraplanner or client service rep requires advisory firms to use many sources to get the salary right for what a new hire should earn. Those resources include discussions with local firms, an analysis...

4 adviser recruiting predictions for the year ahead

January 13, 2016

It's time for me to give my 2016 predictions for the wealth management industry, with a focus (obviously) on recruiting: 1. The trend of substantive wirehouse teams departing the wirehouses for "anything but a big firm" will continue. My own...

What to do when a colleague's cognitive skills are deteriorating

January 8, 2016

As human beings we encounter ethical choices frequently as we go about our daily lives. Do we tell the clerk at the grocery store he undercharged us for the organic bananas when he mistook them for ordinary ones? Do we return the extra five...

Grow your practice by developing your administrative support team

January 8, 2016

In my travels to various industry gatherings in recent years, I have met with an increasing number of independent financial advisers — even some longtime veterans of the industry — plagued by the same problem. While they've built successful...

2016 outlook from top advice executives

January 3, 2016

"Firm leaders will need to make deliberate choices as they evolve from practices to businesses. With the technology boom and changing investor preferences, principals will need to decide: Do I want to focus on running a business, managing investment...

Advisers optimistic about 2016 business

January 3, 2016

Adviser eyes will be laser-focused on the Labor Department in 2016, as the agency is poised to finalize new rules requiring advisers to act in the best interests of their retirement clients. But despite concerns about effects the rule might...

Not a born salesperson? Don't worry, prospecting can be taught

December 15, 2015

Prospecting new clients is always a priority for financial advisory firms with aggressive growth goals, and those that are training individuals to develop this important skill even before they become lead advisers are finding the most success....

Industry responses to confronting advice's diversity issues reveal racial divide

December 14, 2015

As is often the case with many questions, the answers all depend on who you're asking. Are minority communities under-served by financial advisers? Are advisers who don't target minority communities missing out on a growth opportunity? When...

A Diversity Problem

December 14, 2015

Like many Americans, Gerald Loftin remembers the day the O.J. Simpson verdict was announced. But for him, the memory has an even more painful cast: He almost quit his job as a financial adviser that day.

What it's like being an African-American financial adviser

December 14, 2015

It's lonely and really tough work, according to six financial advisers who are working to build the Association of African American Financial Advisors, known as Quad A. They sat down with InvestmentNews editor Fred Gabriel and reporter Liz Skinner...

Feeding the diversity problem

December 13, 2015

The financial profession might not be sending a “whites only” message to prospective advisers, but it's not holding out a welcome sign either. In fact, the industry has two major problems. It lacks diversity, and it doesn't recognize that...

African-American advisers ID business challenges

December 11, 2015

African-American financial planners have distinct business challenges because a natural market for them, clients from the black community, face some barriers when it comes to the essential focus of advice: money. On average, African-Americans...

5 shocking stats about diversity in financial advice

December 11, 2015

The financial advisory industry is predominantly white and includes fewer minority professionals than other areas of financial services, including financial analysis, accounting and tax preparation, according to U.S. Census data. To highlight...

Four ways to make a breakaway smoother

December 8, 2015

With Thanksgiving over and the rest of the holiday season creeping up on us, now is the time when advisers begin to finalize their business and strategic plans for the upcoming year. For many on the wirehouse side, that means laying the groundwork...

Set one clear annual goal to help you and your team stay focused

December 6, 2015

The following is an excerpt from “The Sustainable Edge: 15 Minutes a Week to a Richer Entrepreneurial Life,” by Ron Carson and Scott Ford (Greenleaf Book Group Press, 2015). Mr. Carson is founder and chief executive of Carson Wealth. Mr....

The cost of independence

December 6, 2015

Christopher Bray founded Ariel Capital Advisors nearly two years ago, naming the Florida-based advisory firm after his 4-year-old daughter. Now he is being sued by Ariel Investments, a $10 billion Chicago-based mutual fund company, for allegedly...

How advisers can close the industry's gender pay gap

November 29, 2015

InvestmentNews' Women's Issue last week uncovered many realities about life in the financial advice industry. One seemingly positive finding: The gender pay gap is smaller for financial advisers than for the labor force as a whole. Women make...

Advisers: Speak up and share what you know and what you do

November 23, 2015

This week I want to focus on something a little less technical. I want to say thank you. First, thank you for listening. I know you have a choice about how to spend your time and I so appreciate the time and attention you've given this column....

How to encourage the rise of senior women in financial advice

November 23, 2015

For all the advances that women have made in financial services, a large gender gap persists at the top of most advisory firms — an unsettling trend in an industry dependent on the strength of its relationships with a diverse set of clients,...

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