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Advisor Group executives to hit the road this summer
In the wake of its sale, the IBD network will provide update to advisers in 20 cities.
Why a lack of diversity may be hurting your 401(k) clients
Investment committees are often narrow and uniform, which could have negative consequences for 401(k) plan sponsors.
‘Dumb money’ in ETFs isn’t so dumb after all
Retail investors have put money into the market every month since Trump was elected, ignoring trade tensions, the Mueller investigation and a host of other issues.
Where advisers are focusing their attention this year
Carson Group's survey of its advisers shows they're concentrating on technology, talent and marketing
Three retirement planning conversations advisers can’t ignore
Working with clients to clearly define their priorities is a fundamental first step toward structuring a portfolio strategy.
Lessons learned from 21 deals
Dave Barton of Mercer Advisors talks about pricing, deal terms, timelines and other aspects of RIA transactions
Finra suspends ex-Morgan Stanley broker who made hundreds of CD trades for elderly client
The broker, David Strnad, "exceeded the scope of his authority" when he made the trades, according to Finra.
Personal compliance: Your social media needs to pass this important test
Before you chime in, make sure what you write won't be misconstrued.
Overcoming reservations about converting to investment models
Some advisers appreciate what models could do for their business but worry the implementation would be too complicated.
Rene Nourse says mentoring is the key to diversity
Despite progress, more could be done for women and minority advisers.
Selling your firm, even if you’ve never thought about it
The advisory industry is consolidating, and firms that think they might want to do something at some point should explore their options.
Sometimes a sale is the best succession plan
Firm discovers the benefits of scale while searching for a way to transfer ownership.
Redtail isn’t the only firm with cybersecurity issues
Study of 30 mobile apps found vulnerabilities at 29 firms.
Winning in a crowded field
What the Golden State Warriors' success can teach advisory firms.
What to do when your marketing campaign isn’t really a campaign
A campaign is not a one-time sales email with no follow-up or a landing page that sits all alone on the web where no one will ever find it.
Legg Mason cuts 12% of staff in revamp as investor Peltz joins board
Most of the 120 employees being let go are in the United States.
Auditor: Future of broker-dealer with history of problems is in doubt
Newbridge Securities faces large deficit and negative cash flows.
Dealing with widows requires empathy and patience
Advisers can help with financial triage and encourage clients to avoid rushing into nonurgent decisions.
4 top surprises from the new tax law
Advisers can turn these surprises into planning opportunities this year.
Greg Fleming, Rockefeller Capital spending big on recruits
Firm is offering advisers upwards of three times prior year's revenue to move.
