Practice Management

Displaying 9379 results
B-D advisers had a soft landing in the first half, despite bear market
INDEPENDENT BROKER DEALERS AUG 16, 2022
B-D advisers had a soft landing in the first half, despite bear market

The S&P 500 was down almost 21% over the first six months of the year, but financial advisers at big firms didn't crash and burn.

By Bruce Kelly
Retooled scorecards will better measure women-led results, says new book
PRACTICE MANAGEMENT AUG 16, 2022
Retooled scorecards will better measure women-led results, says new book

Women asset managers and corporate leaders assess risk and opportunity over a longer time frame, justifying new methods of measuring their results.

By Joanne Cleaver
CFP Board cites 66% pass rate at July exam
PRACTICE MANAGEMENT AUG 16, 2022
CFP Board cites 66% pass rate at July exam

Just 7% of the 2,596 people who took the CFP exam in July did so remotely.

By InvestmentNews
Maximize your firm's value by leveraging a next-gen adviser
OPINION AUG 16, 2022
Maximize your firm's value by leveraging a next-gen adviser

Whether you oversee a large enterprise or you’re a one-person shop, the more completely you can replace yourself prior to the start of negotiations, the better terms you’ll receive.

By Scott Hanson
eMoney names Susan McKenna permanent CEO
FINTECH AUG 16, 2022
eMoney names Susan McKenna permanent CEO

The executive had been appointed interim CEO in March after former CEO Ed O’Brien announced he was returning to Fidelity to lead institutional technology.

By Ryan W. Neal
Cambridge Investment elevates three to office of the CEO
INDEPENDENT BROKER DEALERS AUG 15, 2022
Cambridge Investment elevates three to office of the CEO

Colleen Bell, Jeff Vivacqua and Seth Miller become presidents of their respective divisions as part of a new organizational structure.

By InvestmentNews
Guiding pre-retirees through the emotional transition to retirement
RIA NEWS AUG 15, 2022
Guiding pre-retirees through the emotional transition to retirement

Carson Wealth's Jason Juhl is tapping his retired clients to mentor those clients moving toward the 'next chapter.'

By Jeff Benjamin
Counseling young lawyers on cash flow management
RIA NEWS AUG 12, 2022
Counseling young lawyers on cash flow management

L.J. Jones found his niche by observing the challenges faced by his wife and her law school classmates.

By Jeff Benjamin
CFP Board hits three advisers with suspension
PRACTICE MANAGEMENT AUG 12, 2022
CFP Board hits three advisers with suspension

One adviser faces charges of dealing in child pornography, according to the Certified Financial Planner Board of Standards Inc.

By Bruce Kelly
Wealthy clients mostly avoid new taxes as spending bill nears finish line
PRACTICE MANAGEMENT AUG 11, 2022
Wealthy clients mostly avoid new taxes as spending bill nears finish line

Legislation that last year contained a litany of taxes on high earners has been whittled down to a bill with a few corporate tax provisions.

By Mark Schoeff Jr.
Matthew Boersen elected chair-elect of CFP Board
PRACTICE MANAGEMENT AUG 11, 2022
Matthew Boersen elected chair-elect of CFP Board

The Grand Rapids, Michigan, planner will serve a one-year term and become chair of the board in 2024.

By InvestmentNews
CFP Board launches scholarship in honor of LeCount R. Davis
PRACTICE MANAGEMENT AUG 09, 2022
CFP Board launches scholarship in honor of LeCount R. Davis

Recognizing first Black CFP, the $5,000 award aims to help more Black and African Americans earn the certification.

By Mark Schoeff Jr.
State Street report shows inflation, recession driving investor angst
RETIREMENT PLANNING AUG 09, 2022
State Street report shows inflation, recession driving investor angst

Research shows that younger investors are most bullish about being able to get back on track toward saving for retirement.

By Jeff Benjamin
Compensation for top trade association execs  
PRACTICE MANAGEMENT AUG 09, 2022
Compensation for top trade association execs  

InvestmentNews combed through the tax forms of groups in the financial services space to learn what their CEOs earn, as well as other financial metrics.

By Mark Schoeff Jr.
Outsourcing can increase firms' scale and efficiency
OPINION AUG 09, 2022
Outsourcing can increase firms' scale and efficiency

Wise advisers are exploring options to offload tasks that aren't a high-value activity for them or duties that they don't particularly enjoy.

By Kristine McManus
The time is now to be more transparent about advisory fees
RIA NEWS AUG 08, 2022
The time is now to be more transparent about advisory fees

Advisers charging fees based on client assets are feeling a rare pinch of lower income against the backdrop of inflation. Now would be a good time to make that clear.

By Jeff Benjamin
Ex-LPL adviser accused of racism claims firm defamed her in lawsuit
PRACTICE MANAGEMENT AUG 08, 2022
Ex-LPL adviser accused of racism claims firm defamed her in lawsuit

The adviser, Eileen Cure, filed suit in federal court in Texas seeking $95 million in damages

By Bruce Kelly
Alts are rockin’ the house!
ALTERNATIVES AUG 08, 2022
Alts are rockin’ the house!

Demand for income, inflation protection, enhanced returns and volatility dampening has created a ‘Goldilocks moment’ for alternative investments.

By Ryan W. Neal
Insurers to suppliers: Time to get with the DEI program
LIFE INSURANCE AND ANNUITIES AUG 08, 2022
Insurers to suppliers: Time to get with the DEI program

As corporations strengthen efforts to diversify their cultures, employee population, recruiting, and community service, suppliers must realize that they are part of that values alignment, too.

By Joanne Cleaver
Finra slaps J.P. Morgan over ex-rep who loaded grandma up on structured products
ALTERNATIVES AUG 05, 2022
Finra slaps J.P. Morgan over ex-rep who loaded grandma up on structured products

The firm was fined $200,000 for failing to supervise the rep, whose grandmother was 88 and widowed when she opened her account in 2014.

By Bruce Kelly