The following is a list of the ten firms that attracted financial advisers with the most assets during the 12-month period ending March 31, 2011, according to data recorded in the InvestmentNews <a href=InvestmentNews <a href=http://www.investmentnews.com/section/recruiting-moves>Advisers on the Move</a> database. During that time, InvestmentNews tracked 544 financial advisers that have changed firms, with more than $76 billion in client assets at the time of their departure.
Advisers can be guardians of their elderly clients' best interests, shielding them from financial fraud in ways that even family members can't
Investment advisers who must migrate from regulation by the Securities and Exchange Commission to state oversight now will have extra time to make the transition.
Independent broker-dealer selects Erado's API-based archiving, tracking and post-review tool
Who uses which technology products and are they satisfied? Where is adviser technology going?
Respondents to the recent <i>InvestmentNews</i> RIA Technology Study overwhelmingly (95%) rated technology as either “critical” or “absolutely critical” to the success of their business
A four-man team of financial advisers from UBS Financial Services Inc. managing $277 million in assets with trailing-12-month production of $2.5 million has joined the Palm Beach complex of Bank of America Merrill Lynch.
While much of the East Coast battens down the hatches ahead of Hurricane Irene, advisers in the path of the storm say they're not overly concerned about what the nasty weather will do to their operations. One piece of advice: buy a generator.
Alex Brown, a defensive end with the New Orleans Saints, is suing his former team of financial advisers, alleging that they “abused the trust” of the player and his wife.
Joe Paterno, the under-fire Penn State Nittany Lion coaching legend, has been assailed by some for selling his home to his wife for $1? The claim? Paterno was attempting to shield his assets from potential lawsuits. Not so, say estate lawyers in Pennsylvania. | <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Avis=CI&Dato=20110711&Kategori=FREE&Lopenr=711009999&Ref=PH>PSU ranked No.1 — on the list of most expensive state schools &raquo;</a>
With the debt-ceiling fast approaching, it's pretty certain taxes aren't going to go down -- and are likely to go up for wealthy filers. Here's what advisers are telling their clients to do to minimize the bite.
Internal succession tends to be far less disruptive than other succession routes, observers said. That is because it usually takes place gradually — often over a period of years rather than months.
Recruiting will become more expensive in 2011 as the fight for top advisers heats up among independent broker-dealers looking to bounce back from a lackluster 2010.
The most popular succession plan among financial advisers is to have no plan at all
A compilation of research shows that exchange-traded-fund investors are wealthier, younger, and more engaged than their mutual fund counterparts -- in other words, practically perfect clients. So why aren't more advisers embracing ETFs?
A new survey reveals that women are more stressed about their money than men. They're also less certain about what to do about their finances.
Because the barrier to going independent is 'higher than ever,' claims Pershing's Mark Tibergien. He may be on to something.
Finra yesterday began surveying registered representatives and principals about their job functions as a first step in updating qualification exams.
A federal certification would strain resources; some simple approaches help
