Practice Management

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Citing 'egregious conduct,' Finra panel awards Stifel clients a stunning $132.5 million
YOUR PRACTICE PRACTICE MANAGEMENT MAR 13, 2025
Citing 'egregious conduct,' Finra panel awards Stifel clients a stunning $132.5 million

“The arbitration panel really threw the book at Stifel,” according to one plaintiff’s attorney.

By Bruce Kelly
Financial advisors respond to the rise in recession talk
YOUR PRACTICE RETIREMENT PLANNING MAR 13, 2025
Financial advisors respond to the rise in recession talk

Recession fears are rising, or at least more people are talking about the potential one. Here's what financial advisors are saying - and doing - about it.

By Gregg Greenberg
IWI announces changes to CPWA certification program
YOUR PRACTICE PRACTICE MANAGEMENT MAR 12, 2025
IWI announces changes to CPWA certification program

The Investments and Wealth Institute's updates – covering investor psychology family dynamics, and other areas – are set to roll out later this year.

By Leo Almazora
Wall Street recruiters say market's meltdown not hurting hiring
YOUR PRACTICE PRACTICE MANAGEMENT MAR 12, 2025
Wall Street recruiters say market's meltdown not hurting hiring

Wall Street jobs have thus far not been impacted by the market's recent volatility. But there are some positions more in demand than others.

By Gregg Greenberg
Mentorship can’t be a checkbox item
YOUR PRACTICE PRACTICE MANAGEMENT MAR 12, 2025
Mentorship can’t be a checkbox item

Making your people a priority can be the difference between your practice being a success or failure.

By Chris Davis
Compliance officers not immune from the market's manic behavior
YOUR PRACTICE PRACTICE MANAGEMENT MAR 11, 2025
Compliance officers not immune from the market's manic behavior

Changes in regulations are keeping compliance officers busy. Here's how they are keeping up.

By Gregg Greenberg
Are value stocks finally taking the baton from growth?
YOUR PRACTICE EQUITIES MAR 11, 2025
Are value stocks finally taking the baton from growth?

Wealth managers weigh in on the battle between growth and value stocks, and whether the tide is turning in favor of value.

By Gregg Greenberg
'We need more leaders'
YOUR PRACTICE PRACTICE MANAGEMENT MAR 11, 2025
'We need more leaders'

Advisor says Black professionals remain underrepresented in profession and 'nothing has improved in 25 years'.

By Chris Davis
Advisors continue to shine as 'emotional circuit breakers,' Vanguard says
YOUR PRACTICE PRACTICE MANAGEMENT MAR 07, 2025
Advisors continue to shine as 'emotional circuit breakers,' Vanguard says

Latest annual report reaffirms additional net returns from behavioral coaching, especially during historic periods of heightened market volatility.

By Leo Almazora
Commonwealth loses $3.5 million fight over top advisors from Edward Jones
YOUR PRACTICE BROKER DEALERS MAR 06, 2025
Commonwealth loses $3.5 million fight over top advisors from Edward Jones

The large award comes at a time when the wealth management industry is seeing leading firms sue each other over recruiting each other’s financial advisors.

By Bruce Kelly
Advisors forced to talk tariffs as investor anxiety rises
YOUR PRACTICE EQUITIES MAR 06, 2025
Advisors forced to talk tariffs as investor anxiety rises

Market volatility is rising due to the president's tariff talk, and that's got wealth managers answering more and more client questions.

By Gregg Greenberg
Looking to the future: Financial advisors name their favorite AI programs
YOUR PRACTICE TECHNOLOGY MAR 05, 2025
Looking to the future: Financial advisors name their favorite AI programs

A new study shows increasing use of AI in the financial advisory industry.

By Gregg Greenberg
RIAs offer tips for getting the most from their marketing dollars
YOUR PRACTICE RIAS MAR 03, 2025
RIAs offer tips for getting the most from their marketing dollars

Financial advisors explain how to maximize marketing spending from events to swag.

By Gregg Greenberg
Certifications give advisors a clear economic edge, IWI says
YOUR PRACTICE PRACTICE MANAGEMENT FEB 28, 2025
Certifications give advisors a clear economic edge, IWI says

The institute's new research indicates advisors who've earned CIMA, CPWA, and RMA designations outclass their non-credentialed rivals.

By Leo Almazora
Another CEO change, suddenly, at Realta Equities, formerly Coastal
YOUR PRACTICE RIAS FEB 27, 2025
Another CEO change, suddenly, at Realta Equities, formerly Coastal

It’s an unannounced leadership shift at a broker-dealer working to rebrand.

By Bruce Kelly
Ameriprise wins one, loses another against LPL in latest recruiting skirmishes
YOUR PRACTICE BROKER DEALERS FEB 26, 2025
Ameriprise wins one, loses another against LPL in latest recruiting skirmishes

Ameriprise has targeted LPL in at least four complaints sinch January 2024, alleging its competitor had unfairly hired its financial advisors.

By Bruce Kelly
Why it may be time for advisors to shed their crypto skittishness
YOUR PRACTICE ALTERNATIVES FEB 26, 2025
Why it may be time for advisors to shed their crypto skittishness

As a change in SEC leadership and enforcement signals a more crypto-friendly climate, two voices see a constructive picture forming for digital asset adoption.

By Leo Almazora
Gen AI keeps winning more advisors
YOUR PRACTICE FINTECH FEB 25, 2025
Gen AI keeps winning more advisors

The CFP Board today issued an ethics guide for generative AI, coinciding with a separate report showing that most advisors are using the technology in some way.

By Emile Hallez
From CPA to CEO
YOUR PRACTICE PRACTICE MANAGEMENT FEB 25, 2025
From CPA to CEO

Lido Advisors' Jason Ozur on keeping it all in the family office.

By Gregg Greenberg
What wealth firms can do to elevate women in the workplace
YOUR PRACTICE PRACTICE MANAGEMENT FEB 24, 2025
What wealth firms can do to elevate women in the workplace

Kristi Vassak, managing partner and COO at Lenox Advisors, speaks out on the importance of humanity, standardization, and taking a thoughtful approach to mentorship.

By Leo Almazora