Practice Management

Displaying 9379 results
Merrill puts trainees’ sales efforts on hold
PRACTICE MANAGEMENT AUG 12, 2020
Merrill puts trainees’ sales efforts on hold

Calls by adviser newbies were violating compliance rules, report says

By InvestmentNews
Pandemic behind 401(k) sales slump, client retention bump
RETIREMENT PLANNING AUG 12, 2020
Pandemic behind 401(k) sales slump, client retention bump

Plan sponsors were slow to change record keepers during the second quarter and some even waived fees, according to Principal Financial Group

By Emile Hallez
Three UBS advisers managing $1 billion move to Stifel
INDEPENDENT BROKER DEALERS AUG 12, 2020
Three UBS advisers managing $1 billion move to Stifel

The team of Gary Bice and Michael Leach and a solo adviser, John Prebay, join in Southfield, Michigan

By InvestmentNews
The real risk of bonds
OPINION AUG 12, 2020
The real risk of bonds

Stretching for yield in this interest-rate environment is a recipe for disaster

By JD Gardner
When a spouse passes away
OPINION AUG 11, 2020
When a spouse passes away

Five key steps clients can take to move forward financially after losing a spouse

By Nickolas Strain
Clients need 'life guides' for retirement — not just investment advice
RETIREMENT PLANNING AUG 11, 2020
Clients need 'life guides' for retirement — not just investment advice

A long, successful retirement includes purpose, family, health, and of course, money, according to panelists at the InvestmentNews Retirement Income Summit

By Emile Hallez
Morgan Stanley team managing $675 million moves to RBC
INDEPENDENT BROKER DEALERS AUG 11, 2020
Morgan Stanley team managing $675 million moves to RBC

The four-adviser group in Beverly Hills, California, cites RBC's affiliation with City National

By InvestmentNews
We can no longer settle for a ‘DMV’ portal experience
OPINION AUG 11, 2020
We can no longer settle for a ‘DMV’ portal experience

Use of advisory firm portals has risen 20% since the pandemic began

By Eric Clarke
Robo-adviser accounts surge during pandemic: Report
FINTECH AUG 10, 2020
Robo-adviser accounts surge during pandemic: Report

Digital advice providers were well positioned to transfer to remote work resulting in an increase in new business

By Nicole Casperson
Hybrid managing $150 million switches to LPL from Lincoln Financial
INDEPENDENT BROKER DEALERS AUG 10, 2020
Hybrid managing $150 million switches to LPL from Lincoln Financial

Minnesota-based Bialke Financial Partners will operate as an arm of American Bank of the North

By InvestmentNews
Interactive Brokers fined $38 million for lapsed money laundering oversight
PRACTICE MANAGEMENT AUG 10, 2020
Interactive Brokers fined $38 million for lapsed money laundering oversight

Finra, along with two other regulators, levied fines against the broker-dealer for widespread system failures

By Jeff Benjamin
Morgan Stanley team managing $280 million moves to Baird
INDEPENDENT BROKER DEALERS AUG 10, 2020
Morgan Stanley team managing $280 million moves to Baird

Four-person Fischetti Barry group is based in a suburb of Pittsburgh

By InvestmentNews
Pass it along
RETIREMENT PLANNING AUG 09, 2020
Pass it along

Wealth transfer isn’t just for the well-heeled anymore as business owners and families of wide-ranging income levels embrace the latest strategies to keep intergenerational assets in the family — and out of the hands of the IRS

By Emile Hallez
Face-to-face fades away
OPINION AUG 09, 2020
Face-to-face fades away

The shift to virtual may have been messy, but new ways of working and communicating have become the norm

By InvestmentNews
Come together … virtually
FINTECH AUG 09, 2020
Come together … virtually

Just as we’ve all adapted to new realities elsewhere in business, we’re adapting to the new conference reality

By George Moriarty
UBS cuts ties with some Venezuelan clients amid U.S. sanctions
PRACTICE MANAGEMENT AUG 07, 2020
UBS cuts ties with some Venezuelan clients amid U.S. sanctions

The move affects accounts with links to Venezuela's government or to the state-owned oil company, PDVSA

By Bloomberg
Clients appreciate phone calls now more than ever: Survey
RIA NEWS AUG 06, 2020
Clients appreciate phone calls now more than ever: Survey

Advisers who made calls during the COVID-19 crisis have more satisfied clients than those who sent form emails

By Emile Hallez
Duo managing $200 million at Northwestern Mutual go indie with LPL
INDEPENDENT BROKER DEALERS AUG 06, 2020
Duo managing $200 million at Northwestern Mutual go indie with LPL

Scott Dudley and David McQuade form Stirling Financial Group in San Diego

By InvestmentNews
Help your clients tackle college expenses
OPINION AUG 06, 2020
Help your clients tackle college expenses

Higher education is a source of worry for many parents, and one where advisers can provide assistance

By Kristine McManus
Apex Clearing names Tricia Rothschild president
PRACTICE MANAGEMENT AUG 06, 2020
Apex Clearing names Tricia Rothschild president

Rothschild spent 26 years at Morningstar, where her final position was chief product officer

By InvestmentNews