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Designing the Super OSJ of the future

February 23, 2018

At an industry event last year, I caught up with a friend who runs a prosperous independent producer group that supports both his personal book of business as well as those of other successful advisers — or what some in the profession call...

Can you delegate practice management?

February 21, 2018

Just a decade ago, I would hear advisers say: • "I want to spend my time only on seeing clients — nothing else." • "I hate anything to do with human resources because I'm not good at it." • "I don't need all that practice management...

Fiduciary conduct is good for business

February 21, 2018

Investment advisers have been conditioned to think of fiduciary conduct as a compliance matter. The long-debated DOL fiduciary rule, the impending SEC fiduciary rule, Finra's recent "best interest" spin on suitability, and new fiduciary laws...

The gold medal quality advisers can no longer ignore

February 20, 2018

As the 2018 Winter Olympics continue to generate headlines around the world, I've taken notice of what these athletes must inherently possess just to qualify for the Olympics, let alone win a medal. They're the gold standard for their respective...

The industrialization of asset management

February 20, 2018

Model marketplaces are popping up everywhere, like daffodils in springtime. They give advisers access to model portfolios built by asset management firms and "fund strategists." Advisers can implement the models exactly as built by their creators...

Morgan Stanley dropping some overseas wealth customers

February 16, 2018

Morgan Stanley told some of its international wealth-management clients to liquidate their accounts or shift to another financial institution within 30 days. "Serving the investment needs and opportunities unique to clients who reside outside...

Gun violence hits investment strategies, sparks political debates with advisers

February 16, 2018

It is perhaps a sad sign of the times when the latest episode of deadly gun violence doesn't bring a fresh wave of calls from clients seeking to screen out investments in weapons manufacturers. Financial advisers who specialize in various forms...

RIA owners should know what their firm is worth, but many don't get valuations

February 15, 2018

Nothing perks up the owner of a financial advisory firm quite like a conversation about valuations, but for some reason most firm owners never make the effort to determine exactly what their business is worth until they're being acquired. "I...

Don't sell your soul for a large transition package

February 14, 2018

In the 16th century book, Faust sells his soul to the devil, Mephistopheles, in exchange for 24 hours of tutelage in black magic. It was a decision he would later regret. As a financial adviser in today's world, you may be "tempted" with very...

Flash crash: The value of advisers in coping with uncertainty

February 14, 2018

A week ago Monday, the Dow fell 1,175 points. Although that was not anywhere near a record percentage decline, it turned out to be the biggest point decline in history. After 19 months without a 5% decline from the peaks (a record in itself),...

Advisers working with their Valentines

February 13, 2018

Anyone who has ever been in a romantic relationship can probably attest to a host of benefits, challenges, pros and cons. Add to that the reality of working together and suddenly every day is Valentine's Day — or not. Dave Yeske, managing...

USAA, Edward Jones, Ameriprise ranked most understandable by clients

February 13, 2018

Investors don't just want low prices, they want financial services they can understand. A new study by Hearts & Wallets, which asked more than 5,000 households to rate their top two financial providers on service and pricing, found a firm that...

InvestmentNews Research and State Street Global Advisors Release New Study, “Women in Advice: Inspiring the Next Generation of Financial Advisers”

February 9, 2018

BOSTON, February 7, 2018 — InvestmentNews and State Street Global Advisors, the asset management business of State Street Corporation (NYSE: STT), today announced new research into many of the reasons why women still represent a distinct minority...

A podcast about podcasting to get your message out

February 9, 2018

Financial advisers looking for a better way to get the word out, either internally or externally, might want to check out how Captrust is using podcasts to reach its 450 employees in 35 different office locations. John Curry, senior director...

How to access the high-net-worth space

February 7, 2018

As industry pressures intensify for advisers, high-net-worth investors represent a "sweet spot" given their substantial investible wealth, which can provide a great boost to advisers' businesses. However, competition is steep: while 13 percent...

Preaching calm, veteran advisers prepped clients for market drop

February 6, 2018

Veteran financial advisers have been talking to clients for months about when — not if — a correction in the stock market would hit. Their message after Monday's historic 1,175 point drop in the Dow: Stay calm. "First, don't panic; second,...

When to bring a new employee on board

February 1, 2018

When is it time to hire a new employee? This is a common question asked by advisers. Should you hire early to prevent a crisis or wait to see whether an existing employee can take on extra work? Are things so dire that a new employee — and...

The biggest obstacles to building a billion-dollar RIA

February 1, 2018

The goal for most advisers is to increase the size of the firm, both in assets under management and the number of employees. But as the late rapper Notorious B.I.G. once said, "Mo money, mo problems." The Alliance for Registered Investment Advisors,...

Jump in or jump out? Advisers hear both sides in this market

January 30, 2018

Despite the sell-off Monday and Tuesday, the stock market's strength this year (and over the previous 12 months) has been breathtaking. Advisers are being hit with two questions: Should I cash in my chips? Or should I add more to the pot? It's...

This is the No. 1 cybersecurity threat to financial advisers, experts say

January 30, 2018

Phishing, the fraudulent practice of sending emails from supposedly reputable companies in order to get individuals to reveal personal information, is still the biggest cybersecurity threat financial advisers and their clients face in 2018,...

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