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How independent financial advisers can build practices that thrive regardless of DOL fiduciary rule outcome
The most successful will be those who recognize that change in our industry is a constant.
Wells Fargo loses a $500M team to Ameriprise
Four-person team joins firm's employee channel in Charleston, S.C.
How to help clients who are going through major life events
Financial advisers can help their clients write their next chapter after life pivots them in a new direction.
Merrill Lynch pair with $200M in AUM move to HighTower
Jim Ewing and Michael Cona have formed Ewing/Cona Wealth Management in Marlton, N.J.
RIAs take a soft approach to cross-selling
Planners use multiple means to show clients they have more to offer than the basics.
The bull market for wirehouse recruiting deals is over. What will happen next?
Firms that make strategic changes will not only slow attrition, but position themselves to attract top talent for less than they are paying now.
The bull market for wirehouse recruiting deals is over. What will happen next?
Firms that make strategic changes will not only slow attrition, but position themselves to attract top talent for less than they are paying now
Raymond James recruits $138M Merrill Lynch team
A team that managed $138 million in client assets while at Merrill Lynch has left the wirehouse for…
Cetera adds $1B bank wealth platform
Honolulu-based American Savings Banks has 51 branches throughout Hawaii
Finra accepting comments on rule change to allow investment-strategy projections
Broker-dealer groups endorse the change, saying it would put them on a level playing field with investment advisers.
Help protect clients from scam attacks
If we continually educate our clients, we can help them become more aware.
Merrill Lynch team with $150M AUM joins Janney Montgomery Scott
Merrill brokers will join a veteran Janney team in New York City
Finra bars broker-dealer owner for false testimony, fabricated documents
Frank H. Black and his firm, Southeast Investments N.C. Inc., failed to retain business-related emails and to achieve compliance with applicable securities laws, according to the Finra panel's decision.
Prospects for independent adviser exams fade with increased SEC efficiency, Piwowar resistance
The regulator's acting chairman says he prefers that agency employees conduct exams. (More: SEC enforcement unit bracing for budget cuts under Trump)
Doing a better job articulating adviser value
Clinging to language steeped in jargon and generalities can seriously limit growth.
LPL gets mixed reviews for recruiting more to corporate RIA platform
Some affiliates say the firm is competing against them for recruits.
Helping women get ahead in financial services
We have a responsibility to help strengthen our community wherever we can, and help it prepare to thrive in the years ahead.
Adviser’s tweet about widow of fallen Navy SEAL sends firm into crisis PR mode
The incident introduces yet another example of how not to use social media.
4 ways to position your practice to attract more high-net-worth clients
It's one thing to target this market. It's another to be able to serve it capably.
Raymond James loses $762,000 penny stock arbitration claim
More than 20 claimants initially sought $8.8 million in damages and costs after a Morgan Keegan adviser allegedly misappropriated their funds.
