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New adviser credential hones accumulation skills

December 12, 2017

There is no question that the wealth management industry is changing. The question for financial advisers is how do they differentiate themselves in a post-fiduciary environment with robo-advisers nipping at their heels? Perhaps it's time to...

Personal client communication shows your value

December 12, 2017

Why do clients fire their adviser? Is it for lack of performance? Bad service? Most advisers suffer the disappointment of being let go by a client at some point—a blow often followed by weeks of agonizing, trying to figure out what went wrong....

Is the Trump effect over?

December 12, 2017

It's perhaps inevitable that 10½ months into Donald J. Trump's presidency we would pause to consider whether the Trump Effect has begun to wane. As Trump's first year in office enters its final stretch, advisers should be prepared to answer...

Fi360 upgrades adviser fee-benchmarking tool

December 11, 2017

Fi360, which provides education and technology to help advisers comply with fiduciary rules, is upgrading a tool that retirement plan advisers can use to prove they charge clients a "reasonable" fee. The Fee Benchmarker product draws on a proprietary...

Capitalism is beautiful. Young prospects might disagree

December 11, 2017

Capitalism is one of the greatest things that ever happened to America. This isn't just an idle thought for me. It's why we at Stephens launched the ongoing This Is Capitalism multimedia experience two years ago. Yet many Americans, including...

Richard Thaler talks about the formation of his RIA ... and winning the Nobel Prize

December 8, 2017

Richard H. Thaler, who earned a PhD from the University of Rochester, will be given the Nobel Prize in Economics on Sunday for integrating economics and psychology. He is a professor of behavioral science and economics at the University of Chicago...

What advisers should consider before taking a capital infusion

December 7, 2017

Advisory firm valuations might be nearing a top, but advisers should not expect the appetite for investing in their businesses to drop off anytime soon. "Our industry is all of a sudden very fashionable, and we are awash in capital," said Rich...

Broker protocol is good for firms and clients, study finds

December 6, 2017

Brokerage firms that have already exited the broker-protocol agreement, or are considering an exit, might be missing the bigger picture, according to research by two finance professors at the University of Kentucky. Presenting Tuesday in Miami...

Advisers face pressure to automate workflows

December 6, 2017

Advisers are increasingly being told they need to adopt automated workflows into their practice. If firms can implement documented and consistent processes for things like opening accounts, scheduling meetings, and creating financial plans,...

Terrorist groups take a lesson from corporations

December 5, 2017

Most financial advisers might not see parallels between running an advisory firm and running a global terror organization, but there are lessons to be learned from even the worst actors. The MarketCounsel Summit kicked off Tuesday in Miami with...

Blockchain will change the advisory business—someday

December 5, 2017

With the price of bitcoin continuing to soar, advisers find themselves inundated with questions about digital currencies and blockchain, the ledger technology that makes bitcoin possible. Those questions are bound to increase now that the Vanguard...

Seven business strategies for advisers in 2018

December 1, 2017

The world is changing fast and you can't plan for everything. But you can implement sound strategies today to position your business for future success. Indeed, careful planning is essential to sustained business success, and now is the time...

How to balance marketing and compliance

December 1, 2017

As InvestmentNews noted in its Sept. 14 article, the Securities and Exchange Commission issued a risk alert based on the results of a 2016 exam (The Touting Initiative) that focused on common marketing and compliance missteps. The findings prompt...

Protecting client data at advice firms

December 1, 2017

Financial services firms have a target on their back. Given the massive quantity of names, addresses, Social Security numbers, bank account numbers, credit card numbers and other sensitive information kept on file, cyber criminals are going...

Tamarac opens platform to RightCapital

November 30, 2017

Registered investment advisers using RightCapital's financial and tax planning software can now pull in client account information and holdings data directly from Envestnet's Tamarac tool. The integration automatically updates RightCapital daily...

Graphic: Where IBDs are targeting their technology investments

November 29, 2017

In our annual survey fielded this summer, InvestmentNews found that the typical independent broker-dealer spent $12 million on technology in 2016, representing 7.5% of their total operating expenses and 2.4% of their annual revenues. IBDs projected...

Coach clients on salary negotiations

November 28, 2017

Individuals from the millennial generation are breaking money silence when it comes to their salaries, according to new research by Cashlorette.com and Bank Rate. Their study finds that 63% of people ages 18 to 36 have discussed their compensation...

Fross brothers must pay fired partner $1 million

November 28, 2017

Arbitrators awarded a former partner at an adviser marketing firm more than $1 million and found fault in the way the other partners fired him, but both sides claimed victory in the case. In a Nov. 27 decision, an American Arbitration Association...

CFPB in flux as dueling heads show up to lead

November 27, 2017

The next act in the drama playing out over who runs the Consumer Financial Protection Bureau begins Monday as two people are expected to show up to lead the agency, and a federal judge will have to determine the finale. President Donald J. Trump...

Retirement plan advisers need to start planning for their own succession

November 22, 2017

It may seem odd that financial professionals who help clients plan for retirement rarely do a good job planning for retirement themselves. Beyond the cliché that a shoemaker's children often go barefoot, it highlights the fact that most successful...

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