So your client just won the lottery …
Portfolio Carl Richards on how to avoid the easy trap of buying high. (Bucks)…
Gen Z concerns over finances on the rise, survey shows
Growing up during a financial crisis leaves its mark.
Using incentive compensation to motivate advisers — and other staff members
Incentives and bonuses can encourage greater commitment to business development, and not just for those bringing in assets.
Road warriors: How to stay connected, productive and sane while traveling
As someone who will speak at nearly 60 adviser conferences this year and fly nearly 120,000 miles, while simultaneously supporting several businesses, I've been forced over the years to figure out how to maintain productivity as a road warrior.
The tech survey says …
Advisers are embracing industry-specific software, but satisfaction levels remain a bit low.
Tax rule changes require re-planning
Advisers scurrying to learn new rules for same-sex married couples.
BofA’s Merrill reaches $160M settlement in racial discrimination lawsuit
Merrill Lynch reaches a $160 million settlement over a racial discrimination lawsuit filed by a group of advisers.
SEC bans portfolio manager for misleading compliance officer
The charges are the agency's first under Rule 38a-1(c) of the Investment Company Act.
New SSgA ETFs undercut iShares, Vanguard on price
State Street Global Advisors, the second-largest provider of exchange-traded funds, is making a push to join the ranks…
Brokerages charging into social media
Social media is finally getting respect among IBDs and wirehouses as a legitimate and even necessary part of marketing and business development.
Rivals in, but Vanguard won’t offer junk-bond ETFs
High-yield bond ETFs are wildly popular with investors. So why is it that ETF giant Vanguard steadfastly refuses to offer such funds?
Two Pimco offerings dragged down in rout
The recent bond market sell-off has left shares of two of Pacific Investment Management Co. LLC’s closed-end funds…
Milevsky sells retirement analytics firm to Cannex
Deal will help advisers model annuities under varying client circumstances.
Design of ‘top hat’ plans benefits high earners
Originally designed to allow a company's highest-paid executives to defer their annual cash bonus, nonqualified deferred-compensation plans have evolved into flexible, multiuse executive retirement plans — with investment options similar to their qualified-retirement-plan counterparts.
Wading through the alphabet soup
The financial advice industry has long been criticized for having too many professional designations — some good, some OK and far too many just worthless.
Private equity giant KKR’s closed-end fund falls flat
Investors give IPO lukewarm reception amid 'chaos' in closed end fund market.
Edward Jones adds a fund family to its preferred list
J.P. Morgan secures a highly coveted place in the broker's stable of asset managers.
Edward Jones contract said to be drawing howls from reps
PORTFOLIO Upside surprise to the NFP report for November, because God hates permabears. (The Reformed Broker and…
Despite outlook, stick with bonds, Vanguard says
The outlook for fixed income is about as grim as it has ever been, but that doesn’t mean…
