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Heard of Chalice? It's being called Amazon Prime for financial advisers

June 1, 2018

Keith Gregg has rolled up his sleeves to dig himself into his latest venture, Chalice Wealth Partners, an enterprise he is touting as Amazon Prime for financial advisers. The "member benefit organization" is designed to "connect all the products...

T. Rowe Price to lay off 150 in shuttering of Tampa operations center

May 31, 2018

In a move that reflects investors' increasing desire to go digital — and their reliance on advisers — T. Rowe Price said Thursday that it is closing its Tampa, Fla., operations center in June 2019 and laying off about 150 workers. The Baltimore-based...

More turnover at the top of Waddell & Reed

May 31, 2018

A further shake-up in senior management has occurred at Waddell & Reed, with a senior vice president leaving the firm and two national market heads stepping down to become financial advisers. The changes come just weeks after the firm, which...

Death and taxes: A conversation we must have

May 30, 2018

With apologies for the dog-eared title, I had to follow up my last column about the importance of the wealth management ecosystem by calling out the importance of a really good human adviser. And there's no better place to start than with the...

3 obstacles to succession planning — and how to overcome them

May 30, 2018

Though financial advisers may excel at helping clients plan for the long term, too few are following their own advice. Only 37% of advisers have an adequate succession plan, according to a new FA Insight report on succession planning, a statistic...

Women advisers driving revenue growth

May 29, 2018

Even though women make up a small but growing percentage of financial professionals, their influence has the potential for a disproportionate impact on the overall financial planning industry. New InvestmentNews research found that advisory...

For recent Temple grad, career as a financial adviser is a dream job

May 29, 2018

This is another in a series of stories about recent college graduates and their first job in the financial advisory profession. Few 22-year-olds know exactly what kind of career they want, but Kelly Bradley feels like she already has her dream...

Advisers: Technology alone won't transform your business

May 29, 2018

Technology isn't the magic wand for financial advisers hoping to expand their practices beyond portfolio management services. New tools and platforms can add significant value if used correctly, but most financial advisers are taking the wrong...

Internship led to full-time job with Merrill team in Boston

May 25, 2018

This is the first in a series of stories about recent college graduates and their first job in the financial advisory profession. Joel Guerrero figures he has three skills that will help him become a successful financial adviser. He enjoys finance,...

Why advisory firm founders and successors can't get on the same page

May 25, 2018

"A man learns something carrying a cat by the tail that he can learn in no other way." With this quote Mark Twain insightfully illustrates a powerful point: Experience is the best teacher, though it's not always kind or gentle to the student....

How 401(k) advisers can increase their fees

May 23, 2018

It seems that the race to the bottom for 401(k) and 403(b) advisory fees will not slow down anytime soon. But some plan advisers have found a way not only to halt the trend, but actually increase fees. The first step advisers can take to maintain...

From the C Suite with ProVise's Ray Ferrara: The best leaders know when it's time to follow

May 23, 2018

Ray Ferrara thinks he works too hard and, as a result, he sometimes pushes those working with him to also work too hard. But he's determined to try and set a better example of a healthy work-life balance at ProVise Management Group. We sat down...

What one thing would you do to assure your firm is competitive for the next decade?

May 22, 2018

At the Icons & Innovators award ceremony held at the grand University Club in New York City I had the privilege of sharing a panel with lions of the industry: David Booth, founder of Dimensional Fund Advisors, Ken Fisher, founder of Fisher Investments,...

Connecticut RIA adds adviser managing $300 million

May 22, 2018

Procyon Partners, a Shelton, Conn.-based RIA firm, has hired portfolio manager Antonio Rodrigues, who managed $300 million in client assets at Olson Mobeck Investment Advisors. Earlier, Mr. Rodrigues was with People's United Advisors, Procyon...

Why we must create a more diverse and sustainable financial planning profession

May 19, 2018

According to the Bureau of Labor Statistics, employment of personal financial advisers is projected to grow 15% from 2016 to 2026. As the population ages and life expectancy increases, the demand for financial planning advice should continue....

What do we really know about our businesses?

May 17, 2018

My wife makes fun of me all the time for my use of numbers. She says that if I declare my business has reached $1 million, this means we are at $750,000; if I say there are 30 minutes left in a boring trip, that means there are two hours; if...

What's the next act for Waddell & Reed's advisers?

May 17, 2018

The brokerage industry is frantically remaking itself. Wall Street brokers are leaving the big banks and wirehouses in droves. Independent contractor firms like LPL Financial are binging on acquisitions, while competitors like Securities America...

Advisers and clients agree: Life's better in the wealth management ecosystem

May 15, 2018

Wikipedia says an ecosystem "is a community made up of living organisms and nonliving components." A digital ecosystem is a "distributed, adaptive, open socio-technical system with properties of self-organization, scalability and sustainability."...

Culture can slip as firms grow

May 15, 2018

Scaling an advisory business is no easy task, not least because of a shortage of advisory talent necessary to fuel growth. And existential threats such as fee compression, industry consolidation, technological disruption, generational shifts,...

Iconiq Capital co-founder leaves to start rival wealth-management firm

May 15, 2018

Chad Boeding, one of four co-founders of Iconiq Capital, has left to start a rival firm, according to people with knowledge of the matter who asked not to be identified because the departure hasn't been made public. Mr. Boeding is opening Epiq...

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