Practice Management

Displaying 9380 results
Ameriprise, Dalton Education create military-oriented adviser certification
PRACTICE MANAGEMENT NOV 08, 2022
Ameriprise, Dalton Education create military-oriented adviser certification

The aim is to help more military members and their families reach financial goals.

By InvestmentNews
Avantax attracted 74 indie advisers in third quarter
PRACTICE MANAGEMENT NOV 08, 2022
Avantax attracted 74 indie advisers in third quarter

The firm specializing in tax-related advice draws from advisers and accountants.

By InvestmentNews
Big adviser teams say hello and goodbye at Wells Fargo
INDEPENDENT BROKER DEALERS NOV 07, 2022
Big adviser teams say hello and goodbye at Wells Fargo

The latest moves illustrate the push-and-pull dynamics of recruiting and hiring advisers at Wells Fargo.

By Bruce Kelly
3 questions owners should consider before hiring a junior adviser
OPINION NOV 07, 2022
3 questions owners should consider before hiring a junior adviser

A successful job offer will not only win the candidate, but lay out a sustainable vision for the future.

By Steve Voss
Advisers prefer digital experience provided by largest asset managers: J.D. Power
PRACTICE MANAGEMENT NOV 07, 2022
Advisers prefer digital experience provided by largest asset managers: J.D. Power

Smaller fund companies are struggling to differentiate their offerings, the survey finds.

By InvestmentNews
Study finds US women reach retirement with 75% of men’s wealth level
RETIREMENT PLANNING NOV 07, 2022
Study finds US women reach retirement with 75% of men’s wealth level

The report found that women in senior expert and leadership roles were found to have 62% of the accumulated wealth that their male counterparts enjoyed at retirement.

By InvestmentNews
Advisers continue to wrestle with SEC marketing rule now in force
PRACTICE MANAGEMENT NOV 04, 2022
Advisers continue to wrestle with SEC marketing rule now in force

It's D-Day for the regulation that gives advisers latitude to use client testimonials to promote their practices.

By Mark Schoeff Jr.
SEC seeks more input on Finra proposal to allow supervision from home offices
PRACTICE MANAGEMENT NOV 02, 2022
SEC seeks more input on Finra proposal to allow supervision from home offices

State regulators and PIABA have questioned whether a residential supervisory location would provide appropriate investor protection.

By Mark Schoeff Jr.
The RIA’s secret to organic growth
OPINION NOV 02, 2022
The RIA’s secret to organic growth

Increasing your investment in marketing can boost organic growth, especially during a downturn. Here’s how to do it while keeping return on investment in mind.

By Gabriel Garcia and Shauna Mace
CFP Board sanctions 13 planners
PRACTICE MANAGEMENT NOV 02, 2022
CFP Board sanctions 13 planners

Five are censured, three suspended, three revoked and two barred by the Certified Financial Planner Board of Standards Inc.

By InvestmentNews
Finra extends remote inspections through 2023
PRACTICE MANAGEMENT NOV 01, 2022
Finra extends remote inspections through 2023

The regulator wants to provide relief from in-person supervision until the SEC rules on a pilot program for online oversight.

By Mark Schoeff Jr.
Wells Fargo Advisors keeps focus on simpler pay plan for advisers in 2023
PRACTICE MANAGEMENT NOV 01, 2022
Wells Fargo Advisors keeps focus on simpler pay plan for advisers in 2023

In a break with tradition, the firm is introducing next year's pay plan for its 12,000 advisers earlier this year.

By Bruce Kelly
Oppenheimer moves to cancel $36.7 million arbitration decision
ALTERNATIVES OCT 31, 2022
Oppenheimer moves to cancel $36.7 million arbitration decision

While the firm filed a motion to vacate the award in Superior Court in DeKalb County, Georgia, it's extremely rare for courts to overturn Finra arbitration decisions.

By Bruce Kelly
Twitter hysteria over Musk ownership has advisers reassessing value of the platform
RIA NEWS OCT 28, 2022
Twitter hysteria over Musk ownership has advisers reassessing value of the platform

As the $44 billion acquisition sparks extreme reactions for and against the new owner, fintwit considers whether tweeting is still worth all the fuss.

By Jeff Benjamin
LPL sees demand for yield products amid down market
INDEPENDENT BROKER DEALERS OCT 28, 2022
LPL sees demand for yield products amid down market

Commission revenue for fixed-income investments and annuities increased in the third quarter at LPL.

By Bruce Kelly
Some advisers welcome increased regulatory scrutiny of outsourcing
FINTECH OCT 27, 2022
Some advisers welcome increased regulatory scrutiny of outsourcing

A fiduciary mindset when vetting third-party providers should keep them out of trouble, some say. But there are concerns about the regulatory costs entailed for small firms.

By Mark Schoeff Jr.
International CFP standards group names new CEO
PRACTICE MANAGEMENT OCT 27, 2022
International CFP standards group names new CEO

Dante De Gori served previously as the chief executive officer of the Financial Planning Association of Australia.

By InvestmentNews
Merrill adds premium outside manager service
PRACTICE MANAGEMENT OCT 27, 2022
Merrill adds premium outside manager service

The service allows the firm's high-net-worth clients to use a variety of third-party asset management firms.

By InvestmentNews
Shared responsibility for winning diverse talent and clients will reap shared results
PRACTICE MANAGEMENT OCT 27, 2022
Shared responsibility for winning diverse talent and clients will reap shared results

Cultural competency is within reach even as the profession persists with its long-term initiatives.

By Joanne Cleaver
Raymond James shares pop on strong wealth management earnings
PRACTICE MANAGEMENT OCT 27, 2022
Raymond James shares pop on strong wealth management earnings

The firm reported 8,681 financial advisers at the end of September, an increase of 199 compared to the same time last year.

By Bruce Kelly