Practice Management

Displaying 10206 results
SVB names Erin Platts president of SVB Private
PRACTICE MANAGEMENT DEC 05, 2022
SVB names Erin Platts president of SVB Private

The bank appointed David Sabow to succeed Platts as CEO of Silicon Valley Bank UK and head of EMEA.

By InvestmentNews
AAAA poised to amplify industry influence
PRACTICE MANAGEMENT DEC 05, 2022
AAAA poised to amplify industry influence

The Association of African American Financial Advisors, the largest advocacy group for Blacks in the industry, intends to step up business-to-business alliances.

By Joanne Cleaver
As FTX burns, advisers keep their cool
ALTERNATIVES DEC 05, 2022
As FTX burns, advisers keep their cool

Given advisers' questioning of the practical merits of cryptocurrency, it's no wonder so many encouraged their clients to steer clear of crypto as an investment.

By InvestmentNews
Advisers should brace for the relentless case for direct indexing
EQUITIES DEC 02, 2022
Advisers should brace for the relentless case for direct indexing

Despite lukewarm adoption by financial advisers, the financial services industry is committed to leveraging this crucial channel to get direct indexing in front of more investors.

By Jeff Benjamin
Carson Group buys $200 million Massachusetts firm
PRACTICE MANAGEMENT DEC 02, 2022
Carson Group buys $200 million Massachusetts firm

Its acquisition of Waltham-based Northface Capital Holdings is part of the firm's succession plan.

By InvestmentNews
Bringing ESG investing to clients is often more art than science
PRACTICE MANAGEMENT DEC 01, 2022
Bringing ESG investing to clients is often more art than science

Experts say advisers who are introducing clients to ESG investing must start with flexibility and an open mind.

By Jeff Benjamin
Implementing direct indexing using sector ETFs
OPINION NOV 30, 2022
Implementing direct indexing using sector ETFs

It can be hard to keep direct-index portfolios from 'drifting' from their benchmark index as stocks are swapped in and out.

By Matthew Liebman
UBS retreats from plans to target US mass affluent clients
PRACTICE MANAGEMENT NOV 30, 2022
UBS retreats from plans to target US mass affluent clients

Chairman Colm Kelleher said the bank has been slow to identify cross-selling opportunities to wealth management clients.

By Bloomberg
4 keys to preparing your firm for a transaction
OPINION NOV 30, 2022
4 keys to preparing your firm for a transaction

Even if you have no plans to sell, taking these steps will mean you're running a better business.

By Scott Hanson
InvestCloud launches latest adviser-client matching service
FINTECH NOV 29, 2022
InvestCloud launches latest adviser-client matching service

The Find My Advisor app enters an increasingly crowded field of services hoping to connect clients and advisers.

By Ryan W. Neal
Should you speak freely about politics and religion with your clients?
PRACTICE MANAGEMENT NOV 29, 2022
Should you speak freely about politics and religion with your clients?

Although advisers have long avoided discussing certain subjects with clients, David Bahnsen of Bahnsen Group advocates being open with clients about such topics.

By Gregg Greenberg
CFP Board, Foundation for Financial Planning partner on pro bono
PRACTICE MANAGEMENT NOV 29, 2022
CFP Board, Foundation for Financial Planning partner on pro bono

The two financial planning organizations will work together to make pro bono opportunities, training and resources available to all CFPs.

By InvestmentNews
Former LPL exec Bill Morrissey to head Atria's independent channel
INDEPENDENT BROKER DEALERS NOV 29, 2022
Former LPL exec Bill Morrissey to head Atria's independent channel

The private equity-backed firm operates six broker-dealers, including Cadaret Grant, NEXT Financial and Western International Securities.

By InvestmentNews
Group of veteran-owned firms participating in BNY deal
PRACTICE MANAGEMENT NOV 28, 2022
Group of veteran-owned firms participating in BNY deal

The eight broker-dealers are participating in the firm's offering of $750 million in senior bank notes.

By InvestmentNews
A Pivotal Moment to Invest for Growth
PRACTICE MANAGEMENT NOV 28, 2022
A Pivotal Moment to Invest for Growth

Forward-thinking advisory firms are devoting resources now to attract more clients and win top talent.

By InvestmentNews Create
Finra spanks Morgan Stanley over sales of high-risk stocks
PRACTICE MANAGEMENT NOV 23, 2022
Finra spanks Morgan Stanley over sales of high-risk stocks

The Finra penalty included a fine of $200,000 and restitution to clients of $498,000 plus interest.

By Bruce Kelly
How do you keep client risk tolerance stable as markets gyrate?
OPINION NOV 23, 2022
How do you keep client risk tolerance stable as markets gyrate?

Counterintuitively, advisers can instill a sense of calm in clients and attract new clients to the firm by inviting a risk-focused conversation into the room.

By Aaron Klein
Higher yields on cash give advisers another asset allocation tool
PRACTICE MANAGEMENT NOV 21, 2022
Higher yields on cash give advisers another asset allocation tool

The Federal Reserve's fight against inflation has turned boring cash accounts into top performers.

By Jeff Benjamin
Apparent detour opened new career path
PRACTICE MANAGEMENT NOV 21, 2022
Apparent detour opened new career path

Gaining the CFP designation became the fulcrum for a midcareer pivot, but earning it wasn't easy.

By Mary Beth Franklin
One woman’s vision to empower women clients transcends tragedy
OPINION NOV 21, 2022
One woman’s vision to empower women clients transcends tragedy

The Lucy Shair Foundation for Women in Finance seeks to reduce the gender gap by neutralizing one barrier to establishing a firm of one’s own: lack of seed capital.

By Ellen Cherveny