A new initiative has the regulator looking at private placements more closely and in real time.
Team to offer professional testimony in court, forensic accounting and other services.
A confluence of changing client demographics and challenging investment environments has forced many advisers to shift their focus from being stock jockeys to holistic planners — and this evolution is bleeding into all of the advice channels.
One of the best ways for advisers to fight the natural inertia of succession planning is to seek outside help. Whether guided by a B-D, roll-up firm or independent consultant, advisers should seek out certain key features. Liz Skinner on what to look for.
A written succession plan is complex, with many decisions feeding into the final product.
Switching firms 10 years before you expect to leave the industry can provide an extra windfall – if done correctly
Led by Vanguard founder John “Jack” Bogle and Boston University professor Tamar Frankel, new board will introduce guidelines by year end.
Define your company's culture, and put the definition into action. One office supply company, Chalkfly, still sends handwritten notes with its invoices.
In the wake of new SEC guidance, advisers need to brace themselves for online reviews, including negative ones. Liz Skinner on what the relaxed restrictions will mean for your business. <i>(Plus: Read <a href="http://www.investmentnews.com/article/20140409/BLOG09/140409894" target="_blank">Michael Kitces' take</a> and find out if <a href="http://www.investmentnews.com/article/20140409/FREE/140409901" target="_blank">your client review tactics are compliant</a>.)</i>
After a mostly frigid 2013 for recruiting from wirehouse brokerages, agents responsible for selling those brokers on the benefits of free agency are cautiously optimistic that a thaw has finally set in.
Adviser Stephen Besse will be part of the firm's presence in northern California.
Wirehouse firms are revamping their succession programs with higher payouts and lower barriers to entry for advisers who are preparing to retire. The efforts are aimed at competing with independent firms that hold a reputation for the highest payouts.
Focus on the positives, but be ready to discuss the details.
If approved, the Finra rule would require brokers who receive more than $100,000 in incentive compensation to notify clients in writing; some say it could chill recruitment.
Will the rise of online advice platforms make traditional advisers extinct? Advisers face the challenge of defining their usefulness as technology continues to advance.
Their fear of being "taken" makes them prone to trying to usurp your job as the professional
Countless books and movies have been written about the point at which computers shift from being our friend to becoming the enemy. Joe Duran writes that for financial advisers, the battle lines are being drawn right now.
Your business can fall anywhere along the $2 to $685 wristwatch brand continuum. How high up you land is only limited by your desire and your imagination.
