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RIAs embrace the tough-love feedback of advisory boards
Letting clients help direct practice management decisions can have many upsides.
Digital marketing strategies take years to perfect, but can yield prospects galore
Inbound marketing involves creating an impactful website, attracting interest to that site and building trust with visitors to inspire them to become clients.
5 ways to build quality financial plans amid DOL fiduciary rule uncertainty
The firms and advisers that are able to embrace the shift from a sales culture to one comprised of goals-based planning will thrive.
DOL rule slows down wirehouse recruiting and crimps bonuses
Even though the fiduciary rule's future is in doubt, wirehouses are downsizing the bonuses they are offering veteran brokers to jump ship.
Wells Fargo loses $375M team to Raymond James
Preston Covington III and team expand firm's coverage to Columbia, S.C.
Merrill Lynch cuts its top rate on fee accounts
Reduction from 2.7% to 2.2% could save smaller clients $5,000 a year.
Triad nabs Resources Investment Advisors, the $5 billion hybrid that left LPL
The Kansas-based firm is a super OSJ that provides compliance and marketing support for 11 independent advisory practices
Advice firms adapt to millennial advisers who want to help their peers
Many young advisers are persuading their bosses to accept lower annual minimum fees and make other modifications to appeal to young investors.
A Unique Opportunity for B-D Managers and Principals
For branch managers and executives of smaller broker-dealers who seek independence and business growth, the Super Branch model…
How Super Branches Spell Opportunities for Advisors
Many advisors know of colleagues who have left wirehouses or other firms and affiliated with an independent broker-dealer.
Get ahead of robo-advisers by combining personal and digital services
Robo-advisers can give them do-it-yourself, but they can't create ongoing personal relationships.
Why passive asset managers represent high risk for financial advisers
Passive third-party asset managers could expose clients to a greater level of risk and dissatisfaction.
Help clients feel confident and in control of the retirement planning process
Advisers need to help people move past the emotional roadblocks that can make the process more complicated than it needs to be.
Client communication strategies for uncertain markets
What severs ties is poor communication around the impacts of cyclical market gyrations on the portfolio.
Purshe Kaplan Sterling to pay $3.4M in restitution for overcharging Native American tribe
Firm will also pay a $750,000 fine to Finra for failing to supervise broker who sold tribe non-traded REITs and BDCs.
Robo-advisers and human advisers adopt each others’ biggest advantages
Digital advisers are hiring live planners and advice firms are deploying automation.
Some Merrill Lynch advisers upset with move away from commissions
Brokers say commissions serve certain clients better, and investors who prefer them are pushing back.
Former Wells Fargo broker barred for parking fraud
The broker allegedly used the firm's parking garage stamp to validate parking garage tickets worth $731.
Acting SEC chair scales back enforcement unit’s subpoena powers
In a roll-back of post-Madoff change, requests will go through acting division director, say sources.
Dominate your social media in an hour a week
What if I told you that you can spend less than an hour a week and have…
