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Taking tips from Madison Avenue
During the worst of the market meltdown, surveys showed that three-quarters of high-net-worth investors were ready to jump ship and find a new adviser.
Amid flood of donor-fund assets for Haiti, a plea to stay the course
Wealthy individuals have been directing their donor-advised funds to contribute to Haiti relief efforts, and advisers are meeting…
Advisers warn clients to watch out for Haiti scams
Financial advisers are warning their clients to donate only to well-known organizations if they want to help the victims of the Haiti earthquake.
Edward Jones to hire 1,000 advisers this year
St. Louis-based brokerage firm says it is reaping the benefits from the national trend of financial advisers exiting bigger brokerages and bringing their clients with them
Rob Arnott: Why you should be thinking tactical
The key tonic to the past 10 years was a more diversified, less equity-centric approach.
GunnAllen founders jumping to rival broker-dealer in wake of firm’s collapse
After watching the fall of GunnAllen Financial Inc. become official this morning, the firm's founders —Donald James “Jay” Gunn and Richard Allen Frueh —are apparently moving to a rival broker-dealer.
The wholesalers’ handbook: The do’s and do-not’s of working with advisers
Advisers typically are encountered by wholesalers from fund companies on an almost daily basis.
House passes sweeping financial reform
A year after Wall Street failures plunged the nation into recession, the House on Friday passed the most ambitious restructuring of financial regulation since the New Deal.
RBC lures $450 million duo from U.S. Trust
RBC Wealth Management has recruited a pair of financial advisers from US Trust Wealth Management, where they ran some $450 million in client assets.
MSSB duo defects to RBC
Two senior financial advisers from Morgan Stanley Smith Barney have left RBC Wealth Management.
RBC snags $340M duo from Smith Barney
RBC Wealth Management has added two senior financial advisers from Smith Barney with $340 million in client assets as the regional brokerage firm continues to recruit brokers a rapid clip.
Advisers warn clients to watch out for Haiti scams
Advisers are warning their clients to donate only to well-known organizations if they want to help victims of the Haiti earthquake.
Plan your 2010 communications launch
As December winds down, now is the time to reflect on the last year and determine what, if anything, you would have done differently in your practice or even in your personal life
Hiring on the cheap will cost you later
Wanted: adviser's assistant. Must have a bachelor's degree, a “nurturing gene” and the ability to speak Farsi.
Advisers opting for outsourced portfolio reporting
Sheila M. Chesney likes it when clients look at reports detailing how their portfolios have performed, and tell her that they really understand what they are looking at.
Coming soon: Broader definition of fiduciary under ERISA
The Labor Department is planning to expand its definition of fiduciary under ERISA — a move that would have implications for all financial advisers that work on retirement plans.
Ask the expert: How do I get my clients off the sidelines?
Q: I've had some frustrating conversations with clients recently—trying to get them back in the market. Very few are taking my advice, even though they seem to know that staying on the sidelines is a mistake. What's going on, and how can I get them “unstuck”?
Fantasy football at work? Managers must set ground rules
Fidelity’s decision last week to fire four employees for playing fantasy football on the job highlights an issue…
Reviewing 2009 and setting specific goals for 2010
This week, we will be covering two critical areas for reaching your goals for 2010 and beyond. The first is retaining your top clients. The second critical area is to start outlining your business plan for 2010
Next hot job? Compliance officer at financial firm
People who knew how to make a quick buck held some of the fastest-growing jobs two years ago. Now, the growth industry is in helping financial firms figure out how to follow the rules.
