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OpINion online: Sow or reap? That’s the question for advisers
My friends at Business Health, an international consulting firm that specializes in financial advisory businesses, recently came out with a report comparing the financial “health” of Australian advisory practices today with their condition in 2007.
Eight of Finra’s top 10 execs pulled down $1M-plus last year
Meanwhile, regulatory fees were up by 10.5% in 2010; overall, regulator posted $55M net profit
Mortified? Ex-wife of Guggenheim Partners exec headlines reality show
Guggenheim Partner's Topper Mortimer's ex-wife -- the high priestess of NYC's high society -- gets her own show just months after getting a divorce from the money manager.
AIG’s broker-dealer network loses another star rep
Latest to leave embattled firm since the federal government's bailout of American International Group Inc., the broker-dealer network's parent company
Using education as a way to stand out
As this is Financial Literacy Month, now is a great time to consider providing clients with financial education as a way to differentiate your practice.
Pitching clients on the golf course? Ten tips for financial advisers
It's easy to get stymied out on the links – particularly if you fail to observe the unwritten rules for schmoozing during a round.
Do Firms Sue When They Are Afraid to Compete?
How can an Advisor or a Firm "own" someone else's money?
Advisers driving for growth on the golf course
When adviser E. Kim Dignum invites clients or prospects out to play the hilly, meandering course at Mira Vista Country Club in Fort Worth, Texas, she obeys her one unspoken rule of golf etiquette: Play to win.
BofA wants to train – not recruit – up to 2,000 new brokers this year
After trimming the ranks of its brokerage force, Bank of America Corp. wants to put more troops in the field again — this time by promoting and training foot soldiers
PriceMetrix launches free equity commission guide
Firm unveils a market-based equity commission guide designed for financial advisers
It’s 12:00 — Do you know where your clients’ assets are?
Jonathan Smith's heart began to race when he opened the e-mail alert on Tuesday from TD Ameritrade. The alert stated that one of his closest clients had filed paperwork to transfer nearly $ 1 million in assets away from the adviser.
Five tips for snagging the wealthy
What if I were to tell you that my firm had empirical data that clearly highlight a basic fact: Attracting affluent individuals is actually quite simple. I know, it's hard to believe.
Website advice: Don’t set it and forget it
Before calling a financial adviser recently, I checked out his website, as I always do to prepare for an interview.
Can your employees lead?
The recent market disruption has taught many advisory-firm leaders an important lesson: Their very best employees are more critical to success than their very best clients.
More RIAs planning pay hikes for 2010
Although they have spent much of the year cutting costs, many advisory firms are planning to give raises to their employees next year.
Wall Street women still knocking on men’s rooms
Bloomberg's Susan Antilla offers her opinion on just how much (or little) progress women have made in the financial services industry over the last two decades
The debate goes on: To Roth or not to Roth?
The following is an edited transcript of an InvestmentNews.com webcast held in New York on March 9.
Blog: Should I stay or should I go?
As more Branch Managers pick up and move to another firm, more and more advisers are quoting the classic 1981 song by The Clash while considering whether they should follow their old boss to greener pastures.
Suze Orman and Robert Kiyosaki in advice smackdown
Television's Suze Orman has engaged in a war of Tweets with 'Rich Dad, Poor Dad' author Robert Kiyosaki
Mixing friends, family with business is a danger
Clyde Wyatt managed his father's money for about 18 months before he was abruptly dumped for another adviser: His own son Chris.
