Practice Management

Displaying 9379 results
Billion-dollar Morgan Stanley team goes indie with Raymond James
INDEPENDENT BROKER DEALERS JAN 04, 2021
Billion-dollar Morgan Stanley team goes indie with Raymond James

Foursome creates Campbell Johnson McGiboney Wealth Advisors in Franklin, Tennessee

By InvestmentNews
LPL hit with $6.5 million Finra fine over lax supervision
INDEPENDENT BROKER DEALERS JAN 04, 2021
LPL hit with $6.5 million Finra fine over lax supervision

The sanction addressed failures to maintain proper oversight of advisers, which included a Ponzi scheme, according to the regulator

By Bruce Kelly
Mapping your firm's future
OPINION DEC 31, 2020
Mapping your firm's future

When thinking about your firm’s strategy, consider where you stand on the 4 Ps — personalization, purpose, private markets and portfolio construction

By Mike Durbin
How IN's new fintech reporter tackled the beat — virtually
OPINION DEC 30, 2020
How IN's new fintech reporter tackled the beat — virtually

Starting a new job amid a pandemic, I’ve had to rethink how to thrive, virtually, with technology as my trusty tool to succeed

By Nicole Casperson
Automation can elevate the client experience
OPINION DEC 28, 2020
Automation can elevate the client experience

For advisers who want to serve more clients without sacrificing their client experience, automation is critical

By Robert Sofia
Financial wellness is winning 401(k) plan business
RETIREMENT PLANNING DEC 24, 2020
Financial wellness is winning 401(k) plan business

The strategy is seen as an opportunity to help train younger advisers and prospect for wealth management clients.

By Emile Hallez
Advice firms ‘champing at the bit’ over new advertising rule
PRACTICE MANAGEMENT DEC 23, 2020
Advice firms ‘champing at the bit’ over new advertising rule

The SEC's rule, which represents the first update to advertising regulations since 1961, presents potential opportunities and dangers

By Jeff Benjamin
SEC approves rule to allow testimonials in advertising
RIA NEWS DEC 22, 2020
SEC approves rule to allow testimonials in advertising

Revision of the advertising rule in place since 1961 reflects technological advances like social media marketing, according to the regulator

By Mark Schoeff Jr.
2020: The year Wall Street lost the wealth management race
RIA NEWS DEC 21, 2020
2020: The year Wall Street lost the wealth management race

COVID-19 slowed down but did not halt the flow of advisers fleeing wirehouse firms for the independent channel

By Bruce Kelly
J.P. Morgan rep managing $425 million joins LPL indie group
RIA NEWS DEC 21, 2020
J.P. Morgan rep managing $425 million joins LPL indie group

Bryan Schneider affiliates through Professional Wealth Advisor in Downers Grove, Illinois

By InvestmentNews
State fiduciary rules slow down amid pandemic, political transition
PRACTICE MANAGEMENT DEC 21, 2020
State fiduciary rules slow down amid pandemic, political transition

Efforts to implement fiduciary rules in New Jersey, Nevada and Massachusetts are in limbo

By Mark Schoeff Jr.
Why a new Betterment chief could usher in an IPO
RIA NEWS DEC 18, 2020
Why a new Betterment chief could usher in an IPO

Founder Jon Stein wasn’t able to achieve his ultimate goal of an initial public offering, but he transformed the little-known New York-based fintech into a digital behemoth

By Sean Allocca
Merrill Lynch duo managing $200 million joins indie team
INDEPENDENT BROKER DEALERS DEC 18, 2020
Merrill Lynch duo managing $200 million joins indie team

Patrick Fontana and Michael Dunham move to Raymond James affiliate in Dallas

By InvestmentNews
Raymond James buys another boutique investment bank
PRACTICE MANAGEMENT DEC 17, 2020
Raymond James buys another boutique investment bank

The deal comes on the heels of the firm's announced purchase of a retirement plan shop

By Bruce Kelly
Morgan Stanley duo managing $150 million goes indie with LPL
INDEPENDENT BROKER DEALERS DEC 17, 2020
Morgan Stanley duo managing $150 million goes indie with LPL

The mother-and-son team of Paulette and Beaux Treguboff affiliate in Glendale, Arizona

By InvestmentNews
3 steps to leverage year-end planning and kick-start 2021
OPINION DEC 17, 2020
3 steps to leverage year-end planning and kick-start 2021

Things that every adviser should consider to make the most of their end-of-year planning

By Ron Carson
Morgan Stanley rep managing $658 million moves to Alex. Brown
PRACTICE MANAGEMENT DEC 16, 2020
Morgan Stanley rep managing $658 million moves to Alex. Brown

Mark Pomerantz is joining the Raymond James unit in Los Angeles

By InvestmentNews
Morgan Stanley leaves pay plan mostly intact for 2021
PRACTICE MANAGEMENT DEC 16, 2020
Morgan Stanley leaves pay plan mostly intact for 2021

But teams are staring at new hurdles tied to assets, financial plans and online brokerage

By Bruce Kelly
LPL offers stay bonuses to Waddell & Reed advisers
INDEPENDENT BROKER DEALERS DEC 16, 2020
LPL offers stay bonuses to Waddell & Reed advisers

The deals reportedly range from 30% to 50% of an adviser's prior year's revenues

By Bruce Kelly
Adviser managing $186 million moves to Voya from Lincoln
PRACTICE MANAGEMENT DEC 16, 2020
Adviser managing $186 million moves to Voya from Lincoln

Adrian Dunuwila of Fayetteville, New York, is joining his son Brendan at Dunuwila Wealth Management

By InvestmentNews