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RIAs see sizable drop in revenue per client
Schwab survey also uncovers drop in margins, slowdown in number of new clients
Small B-Ds are facing capital crunch
Inability to meet Finra's net- capital requirements will force more small and independent broker- dealers to shut down this year.
Secrets of the top financial advisers
Highly rated financial advisers talk about what got them to the top of the heap
Clients ready to move their assets
One in four considering yanking funds from current adviser; more frequent contact craved
The perfect number of clients? Survey offers an answer
For advisers, having too few clients can be a dire situation. On the other hand, having too many clients comes with its own traps, snares and pitfalls.
What makes your firm so special?
Pop quiz: Who are you? What do you do? And why is it important? In other words, why…
Maintaining your good reputation
It is tough to watch the evening news and see someone you know, or someone whose products you…
JPMorgan adds 300 financial advisers
JPMorgan Chase & Co. had a big third quarter, with profits spiking by 23% -- but it also appears to have had a successful quarter, and year, recruiting financial advisers.
Succession planning: Why your solution could be in the next cubicle
The soft market for advisory businesses is revealing an old verity: A founder's best successor is often a junior adviser who has been elevated to partner.
Cambridge Investment Research undertakes social networking pilot using Socialware
Whether they admit to it or not, lots of fellow independent broker-dealers and probably thousands of registered reps are going to monitor how a new social media pilot progresses at Cambridge Investment Research Inc.
Buffett: Directors, officers should be punished for risky business
In his latest letter to Berkshire Hathaway shareholders, Warren Buffett says directors and officers -- and not shareholders -- should take the hit for reckless investments.
Minorities can enrich financial services industry
The confirmation a year ago of the first Hispanic Supreme Court justice, following the election of the first black president, has signaled for many people a growing appreciation of racial diversity and inclusiveness in the United States.
CFP Board to focus on ‘higher-level’ topics in tightened exam
Financial planners seeking formal certification will soon be tested not just on what they know — but on ethical questions and their ability to potentially communicate with clients.
Aging of advisory biz a boon to young reps: Report
While the graying of the advisory industry creates the risk of having too few reps to meet the demand of aging boomers, it's a big opportunity for younger advisers eager to build their businesses.
FPA’s Tuttle: Our work is ‘misunderstood and misinterpreted’
The process and discipline of financial planning can provide the bedrock for the future financial stability of individuals and families in America.
Two popular adviser applications now linked up with PreciseFP
The creators of PreciseFP, a slick-looking online client questionnaire used by financial advisers, today announced integrations with two popular programs.
Finding your advisory firm’s next you
Youth is sweet.
<b>Blog of the Day</b>: What’s the best way to provide advice to 401(k) participants?
What to do while waiting for the participant advice rule to be finalized.
Financial advisers sculpt rare opportunities from clients’ collectibles
Your wealthy 85-year-old client has spent his life assembling a multimillion-dollar collection of rare objets d'art. He's also got a wine cellar full of Chateau Mouton Rothschild and a set of rare pool cues.
Wealth management woes? Try these fixes
Many wealth managers get into the business with confidence and high hopes, envisioning that intelligence, ambition and devoted customer service will prevail.
