Practice Management

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Colorado revisions to financial planning guide don't quiet a critic
PRACTICE MANAGEMENT NOV 17, 2022
Colorado revisions to financial planning guide don't quiet a critic

The state is concerned that fee-for-service financial planners aren't aligning their charges with work done for clients. Michael Kitces said the guidance remains biased toward the AUM model.

By Mark Schoeff Jr.
Strategies for continuing to diversify the wealth management industry
PRACTICE MANAGEMENT NOV 17, 2022
Strategies for continuing to diversify the wealth management industry

Panelists at the Women Adviser Summit in New York City say firms need to rethink how they look for new talent if they're serious about increasing diversity in the industry.

By Ryan W. Neal
Ritholtz Wealth Management hires its first company president
RIA NEWS NOV 17, 2022
Ritholtz Wealth Management hires its first company president

Jay Tini joins Ritholtz from Vanguard, where he was divisional sales manager, for his first job at an RIA.

By Jeff Benjamin
Study points out barriers to success of women advisers
PRACTICE MANAGEMENT NOV 17, 2022
Study points out barriers to success of women advisers

Nearly three-quarters of respondents to a Carson Group survey note that women must juggle professional responsibilities with caregiving obligations.

By InvestmentNews
SEC officials tell advisers to put clients’ interests first, tell truth in ads
PRACTICE MANAGEMENT NOV 15, 2022
SEC officials tell advisers to put clients’ interests first, tell truth in ads

A seminar offers some insight into what the agency is looking for in firms' compliance with Reg BI and the marketing rule.

By Mark Schoeff Jr.
S&P to pay $2.5 million to settle SEC conflict-of-interest charges
PRACTICE MANAGEMENT NOV 15, 2022
S&P to pay $2.5 million to settle SEC conflict-of-interest charges

The securities watchdog’s order asserted that the rating of a mortgage-backed security deal in 2017 was at issue.

By InvestmentNews
Merrill nabs $1 billion team from Citi
PRACTICE MANAGEMENT NOV 15, 2022
Merrill nabs $1 billion team from Citi

A team of four advisers in suburban New York is making the switch.

By InvestmentNews
CFP Board seeks time limit on reinstating suspended mark
PRACTICE MANAGEMENT NOV 14, 2022
CFP Board seeks time limit on reinstating suspended mark

The organization is continuing to update its enforcement procedures to align with the revised code of conduct that went into force in 2020.

By Mark Schoeff Jr.
Former chief compliance officer at RIA guilty of $500,000 fraud
RIA NEWS NOV 14, 2022
Former chief compliance officer at RIA guilty of $500,000 fraud

According to several news websites, Jennifer Campbell had worked at Pratt Collard Buck Advisory Group, a firm in Buffalo, New York, that closed at the end of last year.

By Bruce Kelly
GWG chiefs bolt in middle of bankruptcy
ALTERNATIVES NOV 14, 2022
GWG chiefs bolt in middle of bankruptcy

Over the past 12 months, the company's shares have fallen from a high of $10.55 to Monday's price of $1.03.

By Bruce Kelly
FTX collapse fails to derail investments into crypto funds
ALTERNATIVES NOV 14, 2022
FTX collapse fails to derail investments into crypto funds

Crypto bulls see the sell-off as a buying opportunity and distinguish the offshore platform from regulated funds and U.S.-based platforms.

By Jeff Benjamin
3 ways advisers can get the most out of hybrid work
OPINION NOV 11, 2022
3 ways advisers can get the most out of hybrid work

Regardless of whether you connect with clients in person or virtually, the fundamentals of establishing relationships and building trust remain the same.

By Philip E. Caminiti
SEC exams director reticent about how agency will probe marketing rule
PRACTICE MANAGEMENT NOV 11, 2022
SEC exams director reticent about how agency will probe marketing rule

But a former SEC official told the audience at the ComplyConnect conference in Austin not to expect the agency to be lenient in initial exams.

By Mark Schoeff Jr.
Merrill Lynch to drop unpopular pay hurdle in 2023
PRACTICE MANAGEMENT NOV 10, 2022
Merrill Lynch to drop unpopular pay hurdle in 2023

Known as the '3% investment policy,' the rule acted as a modest — if nagging — monthly charge on the revenue advisers generated.

By Bruce Kelly
FiComm, FMG partner to train advisers in digital marketing
FINTECH NOV 10, 2022
FiComm, FMG partner to train advisers in digital marketing

The training will help advisers improve their marketing, as well as teaching them to develop video content and launch podcasts and events.

By InvestmentNews
How to give gifts that will delight clients
OPINION NOV 10, 2022
How to give gifts that will delight clients

Consider skipping the classic fruit basket, and think of new, memorable ways to wow clients this holiday season.

By Kristine McManus
SEC exams director warns advisers to strengthen cyber defenses
FINTECH NOV 09, 2022
SEC exams director warns advisers to strengthen cyber defenses

Richard Best tells an audience of compliance professionals that online attacks pose a threat to firms of all sizes.

By Mark Schoeff Jr.
No fee model is perfect: RIA Summit 2022
RIA NEWS NOV 09, 2022
No fee model is perfect: RIA Summit 2022

The goal is for independent registered investment advisers to explain to clients simply and transparently what they're paying for services provided.

By Ryan W. Neal
Establishing expectations for clients is key
OPINION NOV 09, 2022
Establishing expectations for clients is key

If advisers don't set expectations when they first meet with clients, clients will create their own, and odds are they'll be disappointed.

By Scott Hanson
Anticipate changes to plans for LGBTQ+ clients
OPINION NOV 09, 2022
Anticipate changes to plans for LGBTQ+ clients

Complications for LGBTQ+ clients are only likely to proliferate with impending legal decisions.

By Barbara Bilello and Lisa M. Neira