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UBS snags Wells Fargo vet for wealth management exec role

April 24, 2018

UBS Wealth Management has recruited Heather Crist as its new chief of staff for global wealth management, according to an internal memo obtained by InvestmentNews. Ms. Crist comes from Wells Fargo Advisors, where she worked for 28 years and...

Why being a great financial adviser is not enough

April 23, 2018

In true entrepreneurial fashion, most financial advisers excel at the technical side of their business — financial planning, investment management and other areas — yet wallow in a bastion of mediocrity when it comes to running their businesses....

Yes, technology is important to young investors. But they value advisory relationships, too

April 20, 2018

Increased options for online advice have many wondering how the future of the financial advice industry will be shaped. Robo-advice is gaining traction both in stand-alone platforms as well as direct offerings from advisers. As younger and more...

A visit to India and the world's largest startup

April 19, 2018

I recently spent a week in four cities across India. The trip lived up to all my expectations: The Taj Mahal was stunning, Old Delhi chaotic, Jaipur majestic, and Mumbai vibrant. The highlight, however, was not geographic, but commercial. Our...

MML loses $294 million team to Ameriprise

April 19, 2018

Ryan Lambert, who heads a team that includes five other advisers and managed $294 million in assets at MML Investors Services, has joined the franchise channel of Ameriprise. The team includes advisers Cheri Amsden, Daniel Miller, James Phillips,...

Brokerage firms can improve diversity by making it a priority

April 17, 2018

If firms want to get serious about being a more diverse and inclusive place to work, they need to start treating diversity like they would any other business priority. That was the key recommendation from Anne Robinson, managing director and...

Funding The Right Investments At The Right Time

April 16, 2018

Planning for the future requires setting goals. Whether it's preparing for college tuition payments for the next four years, saving for a second home in retirement, or something else entirely, every client will have a range of imminent and distant...

Technology must reinforce trust, or else

April 10, 2018

Look around that desk of yours for a moment. Think about your personal relationships, your work, your family and even your own daily habits. Technology plays a role in every aspect of your life, sometimes without your even knowing it. We're...

Financial advisers' empathy gap

April 10, 2018

Sometimes a cliché is best captured in a picture. On my colleague's phone was a black Bentley, chrome logo glistening in the sun. The car belonged to one of his most successful clients, but it wasn't the presumptive price tag that was jarring....

Have you reached your full potential?

April 10, 2018

Insights from top-performing financial advisors uncover the psychological advantages top-performers use to unlock their capacity for peak performance. The Investments & Wealth Institute® presents “The New Neuroscience of Doubling Production,”...

The secret to a more productive advisory firm

April 9, 2018

The following is an excerpt from the new white paper, “Enhancing Productivity through Support Advisor Empowerment.” To download the full paper from Cadaret Grant, click here. While markets continue to provide a largely supportive backdrop...

Team managing $263 million at INVEST joins Commonwealth Financial Network

April 4, 2018

Riverstone Wealth Partners, which manages $263 million, has switched affiliation from INVEST Financial to Commonwealth Financial Network. The hybrid firm is based in St. Charles and Naperville, Ill. Riverstone is led by partners Jodi Manthei,...

Edward Jones loses $185 million team to Ameriprise

April 4, 2018

A two-person team that managed $185 million in assets at Edward Jones in Meridian, Idaho, has joined the franchise channel of Ameriprise Financial Inc. Paul Orlando and Derek Busby will operate under the name of Granite Financial Management,...

What advisers need to know about alternatives

April 4, 2018

Investing in alternatives isn't always easy, according to an InvestmentNews Innovators in Investing panel. The one-hour panel features insights from Kevin White, head of investment strategy at DFS, Tom Daley, managing director of custody services...

Social media helps gain clients, but changes relationships, study finds

April 3, 2018

Social media has changed adviser-client relationships, helping advisers attract and retain clients, but leading to fewer face-to-face meetings or phone conversations, a study by Putnam Investments finds. In its fifth Social Advisor Study, Putnam...

If friends asked you to recommend an adviser, could you?

April 3, 2018

Good friends ask you for a referral to a financial adviser. You've known this couple for decades, and you and your spouse socialize with them regularly. In their mid-60s, they're do-it-yourselfers and seem to have made smart financial decisions...

FPA terminates relationship with New York chapter amid allegations of ethical lapse, retaliation

April 2, 2018

The Financial Planning Association has moved to dissolve the FPA of New York following a dispute in that chapter's executive ranks stemming from an allegedly unethical client-solicitation scheme and retaliatory activity against the whistleblower...

Adviser's Consultant: Luring breakaway brokers to a hybrid RIA

March 30, 2018

Alex Goss understands the benefits of economies of scale in the financial planning business. By preaching that message to breakaway brokerage reps, he has grown his business to well beyond $3 billion in assets less than four years after his...

Social media spring cleaning is a must — now more than ever

March 30, 2018

I'm guessing that as a financial adviser you go to great lengths to keep your office clean. After all, you'd be embarrassed if a client could sign his or her name in dust on your fancy wooden desk. (Grab some lemon Pledge, I'll wait). I'm guessing...

4 things to remember when delivering bad news

March 30, 2018

Whether financial advisers are dealing with an existing client, or a prospective one, they are expected to provide an honest and objective view of the client's financial situation. As a financial adviser, being able to present bad news to a...

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