Practice Management

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JPMorgan will cover employees’ abortion-travel costs starting next month
PRACTICE MANAGEMENT JUN 27, 2022
JPMorgan will cover employees’ abortion-travel costs starting next month

Benefit will go into effect July 1 at JPMorgan, Goldman Sachs and Bank of America.

By Bloomberg
The complexities of investing in alternatives
OPINION JUN 24, 2022
The complexities of investing in alternatives

Advisory firms' challenges when it comes to alts range from getting access to investments, meeting minimums, figuring out how to subscribe and the headache of performance reporting.

By Matt Sonnen
Finra sets big change in motion with new option for licensing grace period
PRACTICE MANAGEMENT JUN 23, 2022
Finra sets big change in motion with new option for licensing grace period

The new Maintaining Qualifications Program reconciles Finra licensing requirements with common career and family timelines.

By Joanne Cleaver
Maine insurance agency's Juneteenth sign triggers online backlash
PRACTICE MANAGEMENT JUN 23, 2022
Maine insurance agency's Juneteenth sign triggers online backlash

The agency's notice that it was closed for the Juneteenth holiday was criticized as racist and led two major insurance companies to break ties with the agency.

By InvestmentNews
Finra hits National Securities with $9 million penalty
ALTERNATIVES JUN 23, 2022
Finra hits National Securities with $9 million penalty

The regulator sanctioned the broker-dealer for violations related to its marketing of securities it had underwritten and failings related to sales of GPB private placements.

By Bruce Kelly
Alex. Brown head Haig Ariyan to leave July 15
PRACTICE MANAGEMENT JUN 22, 2022
Alex. Brown head Haig Ariyan to leave July 15

Bill Seugling will head global wealth solutions at parent Raymond James. He will report to Scott Curtis, president of the Raymond James private client group.

By InvestmentNews
Is your custodian or IBD holding you back?
OPINION JUN 22, 2022
Is your custodian or IBD holding you back?

Some custodians and IBDs will require that an advisory firm move its assets off their platform if the firm is acquired or merges with one of the consolidators.

By Scott Hanson
Accelerate inclusion by adopting agile strategies
OPINION JUN 22, 2022
Accelerate inclusion by adopting agile strategies

Methods honed by the tech and manufacturing industries are surprisingly relevant and effective for workplace culture

By Ana Trujillo Limon
How firms can win the next generation of talent
PRACTICE MANAGEMENT JUN 21, 2022
How firms can win the next generation of talent

Wealth management firms vying for next-gen talent must rethink long-held expectations about how, where and why people go to work, according to speakers at InvestmentNews' 40 Under 40 gathering.

By Ryan W. Neal
Succession plan services gain traction as a tool for recruiting, making acquisitions
RIA NEWS JUN 21, 2022
Succession plan services gain traction as a tool for recruiting, making acquisitions

With more than $10 trillion seen in motion over the next decade as advisers retire, Cerulli expects acquiring firms to make succession planning a bigger piece of the offering.

By Jeff Benjamin
A bear market is not the time to hibernate
RIA NEWS JUN 20, 2022
A bear market is not the time to hibernate

In the turmoil and economic uncertainty surrounding a bear market, guidance from a trusted financial adviser is more valuable than ever.

By InvestmentNews
Wirehouses ditched recruiting years ago, but hit records in 2021. What changed?
PRACTICE MANAGEMENT JUN 20, 2022
Wirehouses ditched recruiting years ago, but hit records in 2021. What changed?

Ten years ago, hiring financial advisers at wirehouses had a hammer and tongs feel. Today, hiring and hanging on to advisers are much more nuanced endeavors.

By Bruce Kelly
Almost mainstream, LGBTQ couples still need specialized planning
PRACTICE MANAGEMENT JUN 17, 2022
Almost mainstream, LGBTQ couples still need specialized planning

Advisers who serve gay and lesbian couples attract a rainbow of potential clients.

By Joanne Cleaver
New diversity tools arriving just in time to win the war for talent
PRACTICE MANAGEMENT JUN 17, 2022
New diversity tools arriving just in time to win the war for talent

Amid the healthy growth in jobs, more resources are becoming available to help employers recruit women and minorities.

By Joanne Cleaver
Fintech startups tighten belts, bracing for extended bear market
FINTECH JUN 16, 2022
Fintech startups tighten belts, bracing for extended bear market

Tifin laid off 10% of its workforce this month in response to the market environment, and it isn't alone.

By Ryan W. Neal
New LPL program gives advisers more tools to attract, serve the rich
RIA NEWS JUN 16, 2022
New LPL program gives advisers more tools to attract, serve the rich

The Private Client Service Network will help select LPL advisers assist their clients with such tasks as the sale of small or midsize businesses; hedging concentrated stock positions; and specialty lending.

By Jeff Benjamin
Three wealth management podcasts win awards at second annual competition
PRACTICE MANAGEMENT JUN 15, 2022
Three wealth management podcasts win awards at second annual competition

Retirement, diversity and financial literacy emerge as popular podcasting themes at this year's Advisor Podcast Awards.

By Jeff Benjamin
How to prepare your clients for 401(k) statement shock
RETIREMENT PLANNING JUN 15, 2022
How to prepare your clients for 401(k) statement shock

With 401(k) savers likely to be getting some unpleasant news in their next statement, their financial advisers might want to reach out in advance.

By Gregg Greenberg
Another former head of Wells Fargo Advisors leaves the bank
PRACTICE MANAGEMENT JUN 15, 2022
Another former head of Wells Fargo Advisors leaves the bank

David Kowach is the second senior Wells Fargo executive with deep ties to wealth management to retire in the past two months.

By Bruce Kelly
Anticipating more pain ahead, advisers stress long-term perspective
RIA NEWS JUN 15, 2022
Anticipating more pain ahead, advisers stress long-term perspective

While the stock market has officially entered a bear market, so far it doesn't feel like March 2009, when the market declined 30%, or October 1987, when it lost 20% in one day.

By Jeff Benjamin