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SIFMA vows to put customers first

November 7, 2013

A leading Wall Street trade organization is encouraging financial firms to put their clients' interests ahead of their own when providing retail financial advice. On Thursday, the Securities Industry and Financial Markets Association released...

Don't condescend to Gen Y women

November 6, 2013

Advisers who can show how they can make a person's financial life easier — without coming off as condescending — will find an enthusiastic audience in Generation Y women, experts said. Women in Gen Y, who range in age from 13 to 33, have...

Trying to harness the power of big data for advisers

November 4, 2013

From analytics to zettabytes, big data is overtaking tech platforms in the financial services industry. “Big data is coming to our space really quickly,” Brian McLaughlin, chief executive and chief technology officer for Redtail Technology...

Morgan Stanley veterans launch firm using Raymond James platform

November 4, 2013

A group of veteran Morgan Stanley managers has broken away from the wirehouse to form a partnership with Raymond James Financial Services Inc. as an equity-ownership wealth advisory firm that will offer succession planning to advisers. The new...

Performing the role of family CFO

November 3, 2013

We are all familiar with the role of a chief financial officer in business, but when does a family need one? In a corporate context, the CFO is responsible for financial analysis, accounting and budgets, and overseeing insurance, banking, investments...

Rise of the machines

November 3, 2013

The financial adviser's role is about to change. Within a decade, they may not be needed for many of the traditional tasks that they routinely perform for clients. No one will need them to write a financial plan, balance a family budget or even...

Making it a priority to work with clients' children can pay off

November 3, 2013

When Kathy Fish's biggest clients, a married couple, died within a year of each other, she worried that their two children would walk their parents' assets right out the door, since most children don't retain their parents' adviser after they...

A look at today's generation of online RIAs

November 3, 2013

Client numbers and assets under management, when available, are drawn from regulatory filings or company officials. Betterment Holdings Inc. Clients: 20,000 AUM: About $300 million Betterment lets users select from a series of goals, such as...

Advisers back SEC initiative on exams

November 1, 2013

A plan by the Securities and Exchange Commission to target those advisers who have never undergone compliance examination next year is drawing support from advisers, consultants and trade associations. On Thursday in New York, SEC inspections...

How financial advisers can stay ahead of the competition

November 1, 2013

Advisers who compare themselves to the competition have a better chance of staying ahead. That's the advice Mathias Hitchcock, vice president of Fidelity Institutional Wealth Services, gave to advisers at the Fidelity Inside Track conference...

Generating client leads online: Give it away

November 1, 2013

Here's some simple advice for advisers hoping to generate leads online: Free stuff rocks. Despite many advisers' fears that giving away too much information on the web will hurt their business, Brittney Castro, founder and chief executive of...

Want to keep the inheritance in-house? Try a different approach

October 31, 2013

Financial advisers who want to keep managing the wealth their clients' children will inherit should be approaching those kids very differently than the way they appeal to their parents, a generational expert told advisers. "Don't pitch Junior...

Advisers who serve have a double duty — to Uncle Sam and their clients

October 31, 2013

Anyone who thinks they have busy days should listen to Chris Pollard's tale. This Regent Wealth Management Group financial adviser spent a year activated in the Army National Guard as a budget analyst by day — while serving his 100 advisory...

SEC to take 'swipe' at RIAs that have never been examined

October 31, 2013

Registered investment advisers who haven't seen much of their regulator may get a knock on the door in 2014. The Securities and Exchange Commission plans to make examining the estimated 4,000 advisers who have never been visited by regulators...

The 3 scariest things advisers need to know about succession planning

October 30, 2013

With Halloween around the corner, it seems appropriate to share what will surprise (or even shock) many folks when it comes to creating a successful, fright-free succession plan. 1. There is an inverse relationship between your value to the...

RIAs need to focus on compensation to foster growth, advisers told

October 30, 2013

Of the more than 150 financial advisers attending the Fidelity Inside Track Conference this week, 68% said that they plan to add an adviser within the next year. Given that growth spurt, compensation has become a key issue when it comes to maintaining...

Women in the advice business

October 29, 2013

Source: 2013 InvestmentNews/Moss Adams Adviser Compensation and Staffing Study.

Adapt or die: Attracting Gen X and Gen Y clients

October 29, 2013

Having been born in 1981, I belong to Gen Y. I'm also an investment adviser representative and a consultant to 950 financial professionals. Because of where I fit in personally, the conversation about what the next generation wants from advisory...

Why all mentor relationships are mutually beneficial

October 29, 2013

Michael Branham, CFP President, Financial Planning Association

Develop better plans for clients with an eye on behavioral biases, experts say

October 28, 2013

Advisers who can get into the minds of clients and consider their biases when shaping their portfolios will achieve better financial outcomes because those clients will be more likely to stick with the plan, two behavioral finance experts said....

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