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How to keep junior advisors from washing out before they get started
Wealth management firm explains how it bucked the trend with a 90% retention rate.
What’s keeping investment firm compliance officers awake at night?
The Investment Adviser Association reveals the results of its 2023 Investment Management Compliance Testing Survey.
Credit Suisse bleeds bankers, UBS saves on payouts
Rivals have poached dozens of senior Credit Suisse investment bankers in recent months, reducing the need for big redundancy packages for UBS.
Future of Thrivent Advisor Network in question after Armitage exit
Top exec says firm changed direction as platform posed too much competition for its legacy insurance side.
Closing broker-dealer’s financials ‘were horrible’
Arizona-based Arque Capital Ltd. sold bonds issued by bankrupt GWG Holdings Inc.
Got less than $680,000 to invest? Morgan Stanley doesn’t want your business
The big wealth manager palms off 'low value' clients in Australia.
After years going solo, Edward Jones advisors now sharing offices
A year after the firm's decision to give advisors more flexibility, 700 Edward Jones financial advisors, or more than 3%, now work in combined offices.
JPMorgan Chase announces layoffs
Meanwhile, the firm chases Silicon Valley Bank business by hiring overseas.
Why people are reluctant to hire an advisor
Studies have shown that most people will benefit from an advisor's assistance, realizing a 4%-plus increase in their yearly return, even after fees.
Considering an equity ownership structure? Here are 4 questions to consider
Offering employees an ownership stake can give you a valuable tool to attract and retain great people, and it often makes internal succession much easier.
Merrill Lynch smacked with $12 million penalty for reporting violations
According to the SEC and Finra, for years Merrill botched the reporting threshold for potential suspicious transactions.
Amid volatility, tech that proves an advisor’s value will thrive
There's new pressure on advisors to clearly demonstrate the value they deliver to clients, and technology will play a key role.
Schwab sharpens focus on distinct needs of wealthiest client groups
The firm has launched two brands to differentiate between high-net-worth and ultra-high-net-worth clients
Are you hiring or firing? Advisors and the end of the Great Resignation
The June employment report showed fewer new jobs than expected, but what does that mean for staffing advisory firms' back offices?
The latest in financial #AdvisorTech — July 2023
This month's highlights include Pershing X's launch of Wove, Blueleaf's 'aggregation-as-a-service' solution, and Nitrogen's new set of firmwide data analytics capabilities.
AI arrives on Wall Street
Morgan Stanley and JPMorgan seize the initiative, while smaller firms grapple with a lack of standardized data.
Retirement uncertainty and the advisor shortfall
The rational, eat-your-vegetables approach to retirement peace of mind only goes so far. Advisors must become more adept at helping clients to prepare emotionally.
Advisors jumping onto Threads could create compliance headaches
Currently Threads lacks many of the features that are standard on other social media platforms, such as direct messaging and feed curation.
Millennial advisor carves a niche populated by her peers
Emily Stead wants to be the advisor people think of when a younger person is facing a financial challenge.
What advisors need to tell clients traveling abroad this summer
Financial advisors nationwide are taking calls from clients asking about what they should have in place prior to international travel.
