Practice Management

Displaying 9378 results
How 'high beam thinking' can help advisers adapt to a changing future
FINTECH JUN 28, 2019
How 'high beam thinking' can help advisers adapt to a changing future

Advisers need to accept that dinners and golfing won't cut it for business development in the future.

By Ryan W. Neal
Increase diversity or die, Pershing CEO Tibergien tells RIAs
RIA NEWS JUN 27, 2019
Increase diversity or die, Pershing CEO Tibergien tells RIAs

If firms want to keep pace with changing investor demographics, they have to hire more diverse viewpoints.

By Ryan W. Neal
Reflections on pride
PRACTICE MANAGEMENT JUN 27, 2019
Reflections on pride

Powerful symbols require day-to-day actions by leaders to make firms more inclusive.

By James Spiegelhoff
FINTECH JUN 26, 2019
Advisers have their sights set on these fintech tools

Where are the tools to help predict client moves?

By Mark Schoeff Jr.
3 things to consider when advising blended families
PRACTICE MANAGEMENT JUN 26, 2019
3 things to consider when advising blended families

Not addressing important financial issues before deciding to combine two households can lead to a disaster.

By John J. Vento
Milestone planning helps clients and advisers
RETIREMENT PLANNING JUN 26, 2019
Milestone planning helps clients and advisers

There are many benefits to milestone planning. Here is what you need to know

By Jonathan Russell
Galvin smacks LPL with $1.1 million fine
PRACTICE MANAGEMENT JUN 26, 2019
Galvin smacks LPL with $1.1 million fine

LPL's latest penalty from Massachusetts derives from not properly registering brokers.

By Bruce Kelly
Advice industry leaders focused on improving the digital client experience
FINTECH JUN 26, 2019
Advice industry leaders focused on improving the digital client experience

Top custodians, broker-dealers and RIAs addressed the challenges of building an Uber-like platform for clients.

By Ryan W. Neal
5 important pieces of social media news
FINTECH JUN 25, 2019
5 important pieces of social media news

Changes happen all the time on your favorite platforms — here's what you may have missed.

By Scott Kleinberg
Advisers step up efforts to help clients manage student loan debt
RIA NEWS JUN 25, 2019
Advisers step up efforts to help clients manage student loan debt

As some Democrats campaign to wipe the slate clean, financial planners focus on limiting the amount students borrow.

By Jeff Benjamin
Advisers who pick stocks are hurting clients — and the value of their firms
PRACTICE MANAGEMENT JUN 25, 2019
Advisers who pick stocks are hurting clients — and the value of their firms

Too many advisers spend too much time each week watching CNBC and Bloomberg, and imagining they can outsmart the market.

By Scott Hanson
Fixed-income solutions for breakaways entering the RIA space
OPINION JUN 25, 2019
Fixed-income solutions for breakaways entering the RIA space

Wirehouse advisers fear that they'll have less access to fixed-income investments in the independent space, but the opposite is true.

By Matt Sonnen
Finra fines, suspends ex-Merrill Lynch broker over loans from clients
PRACTICE MANAGEMENT JUN 25, 2019
Finra fines, suspends ex-Merrill Lynch broker over loans from clients

Fred Brown also failed to change his employment record to disclose two tax liens and three civil judgments.

By Bruce Kelly
LPL Financial push for employee model attempt to tap into $11 trillion market
INDEPENDENT BROKER DEALERS JUN 25, 2019
LPL Financial push for employee model attempt to tap into $11 trillion market

Advisers working for wirehouses and regional firms control vast amounts of assets that LPL would like to bring under its umbrella.

By Bruce Kelly
GPB paid B-Ds and reps steep commissions to sell troubled private placements
ALTERNATIVES JUN 24, 2019
GPB paid B-Ds and reps steep commissions to sell troubled private placements

GPB paid commissions of 9.3%, or $167 million altogether, on the firm's private placements.

By Bruce Kelly
SEC advice rule brings tech focus back to compliance
FINTECH JUN 21, 2019
SEC advice rule brings tech focus back to compliance

After turning attention toward next-gen platforms and client experience, broker-dealers may have to rethink technology to comply with a best interest standard.

By Ryan W. Neal
Finra dings Edward Jones for underreporting alleged damages in customer complaints
PRACTICE MANAGEMENT JUN 20, 2019
Finra dings Edward Jones for underreporting alleged damages in customer complaints

The broker-dealer was censured and fined $40,000 for the infractions.

By Bruce Kelly
Senate confirms Allison Lee to SEC
PRACTICE MANAGEMENT JUN 20, 2019
Senate confirms Allison Lee to SEC

Former SEC enforcement attorney will fill Democratic seat vacated by Kara Stein.

By InvestmentNews
Advisers investing in technology to prepare for possible recession, Schwab study finds
FINTECH JUN 20, 2019
Advisers investing in technology to prepare for possible recession, Schwab study finds

No. 1 priority is tech that will help them serve more clients.

By Ryan W. Neal
Account consolidation preferred more in theory than in practice
PRACTICE MANAGEMENT JUN 19, 2019
Account consolidation preferred more in theory than in practice

Cerulli report finds that affluent clients like the idea, but only about a third do it.

By InvestmentNews