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Where to find women financial adviser candidates

June 19, 2018

Before starting a job as a financial planning associate last month, Alesstrah Love, 27, worked as a scientist for a pharmaceutical company. She ran tests on new drugs in a laboratory, but found that the work didn't fit her personality. "I'm...

Going independent: Which business model is right for you?

June 18, 2018

As wealth managers consider a move to independence, they come to Pershing with questions about the economics of different business models. And rightfully so, because of all the issues advisers have to address in a transition, nothing comes close...

Wealth managers, stop cutting those fees

June 14, 2018

Wealth managers must stop offering clients unnecessary fee breaks and invest in advanced analytics to boost revenue because the industry faces a "complete transformation" in coming years, a study found. Private bankers generally charge one in...

Always be closing? The end of selling

June 12, 2018

On a recent flight I watched a movie I'd seen decades earlier and marveled at how life has changed. The cult classic "Glengarry Glen Ross," based on David Mamet's Pulitzer Prize-winning play of the same name, is the poster child for the ugly...

5 characteristics of growth-restrained RIAs

June 11, 2018

With competition for assets intensifying across the registered investment adviser marketplace, CEOs of successful RIAs are increasingly focused on aggressive growth strategies to bolster their competitive advantage and add significant value...

Winning over the ultra-rich means cutting them in on mega deals

June 11, 2018

America's last Gilded Age had its "List of 400": the people said to be worthy enough, or at least rich enough, to climb the pinnacles of high society. Today, in an age of affluence not even the Astors and Vanderbilts might have imagined, there...

Why saying goodbye to your clients and business is hard

June 8, 2018

Boomers, do you look your age? If so, clients have likely been wondering how long you will be around to help them with their financial future — and they have probably been wondering this for longer than you think! In fact, clients often feel...

Catherine M. Keating appointed CEO by BNY Mellon Wealth Management

June 8, 2018

BNY Mellon Wealth Management named Catherine M. Keating as its new chief executive officer and member of its executive committee. The firm has $246 billion in total client assets. Ms. Keating joins BNY Mellon from Commonfund Inc., a nonprofit...

Conflicts of interest on SEC's radar

June 8, 2018

Potential conflicts of interest, and the proper disclosure of those conflicts, should be among the priorities for RIA compliance programs right now. Those potential conflicts at registered investment advisers include not disclosing fees charged...

It's time to make 'behavioral finance' more than a buzzword

June 6, 2018

At a time when retail investors have more options for where to seek financial advice than ever before, advisers who incorporate behavioral finance into their business potentially can stand out significantly. Implemented correctly, a behavioral...

401(k) advisers, is your value proposition even valuable?

June 6, 2018

If you talk to any marketing consultant, one of the top things they bring up is having a value proposition. This is commonly known as your "elevator pitch." Basically, if you're at a cocktail party, how do you describe what you do to people?...

Wanted: High-value investment professionals of the future

June 5, 2018

Depending on one's perspective, the future of the investment management profession may be as bright as the noonday sun, or there could be clouds on the horizon. No matter which end of the spectrum you find yourself, we can all agree that innovations...

Mellody Hobson of Ariel to become vice chair of Starbucks

June 5, 2018

Mellody Hobson, president of Chicago-based Ariel Investments, will add a new title to her already vast resume: vice chair of Starbucks. The coffee company's executive chairman, Howard Schultz, announced Monday that he will leave Starbucks June...

A smarter way to rebalance

June 5, 2018

As advisers begin midyear rebalancing of client portfolios, they face a dilemma. While investors have enjoyed the fruits of a nine-year bull market — including a 19% gain by the S&P 500 in 2017 alone — they've also seen a significant shift...

New Jersey native will try to start his financial advisory career in the South

June 4, 2018

Ryan Muscatella, who graduated magna cum laude from Virgina Tech's financial planning program, has decided to stay in the South rather than go back to his native New Jersey to begin his career. Mr. Muscatella has accepted a job at Washington...

Some social media advice never goes out of style

June 1, 2018

I've been writing columns about social media for nearly 10 years now, and in all of that time I've stressed the importance of watching what you say, being professional 24/7/365, and keeping personal opinions about current events and politics...

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...

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...

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...

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...

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