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As consolidation continues, what happens to the solo practitioner?

October 20, 2018

As the financial services industry continues to consolidate, growing to a list of nearly 700 mega-sized advisory firms with at least $1 billion under management, what becomes of the solo practitioner? The answer depends on whom you ask. "I see...

Don't be fooled by the numbers — the industry is in a dangerously vulnerable state

October 20, 2018

If one were to look at the financial advice industry solely by the numbers, it would look pretty good. Median assets grew a whopping 16.8% last year, while median revenue grew by 11.7%, according to the 2018 InvestmentNews Study of Pricing &...

Market volatility brings alternative investments back into focus

October 19, 2018

At least on paper, it should be easy to make the case for allocating portfolio assets toward more alternative strategies designed to reduce some of the risk imbedded in a 10-year bull market for stocks. Reality, however, shows that investors...

RIA consolidation on pace for sixth straight record year

October 18, 2018

The pace of consolidation among registered investment advisers slowed slightly during the third quarter but remains on track for a sixth consecutive record year. The latest report from Echelon Partners counted 43 RIA acquisitions during the...

Financial health of advisory firms is excellent. Or is it?

October 18, 2018

Deputy editor Bob Hordt and senior columnist Jeff Benjamin discuss the fact that double-digit growth in revenue and assets doesn't necessarily spell a rosy future.

Dawn Bennett found guilty of $20 million Ponzi scheme

October 17, 2018

Former financial adviser Dawn Bennett was convicted Wednesday in federal court in Maryland of 17 charges related to a $20 million Ponzi scheme. Ms. Bennett, 56, was found guilty of all charges, including conspiracy, securities fraud, wire fraud,...

Making younger clients a top priority — but not the only priority

October 15, 2018

When it comes to serving younger clients, financial advisory firms tend either to dabble in it with whatever leftover resources they have or take a whole-hog approach through something like the XY Planning Network. But that wasn't going to cut...

How markets will likely react to a change in congressional power

October 13, 2018

With the midterm elections approaching, financial markets have already priced in a scenario in which Republicans cough up enough seats to lose their majority in the House of Representatives but maintain a majority in the Senate. "In a divided...

10 fund categories that survived the stock market pullback

October 12, 2018

October’s burst of stock market volatility caught some investors by surprise, while possibly putting a smile on the faces of investors waiting patiently for exactly this kind of pullback. Over the 30 days ended Oct. 11, the S&P 500 Index fell...

Market slide awakens nervous investors, puts advisers back to work

October 11, 2018

Volatile financial markets are when some financial advisers do their best work — not necessarily with investments, but with clients. "I know there are four or five 'Nervous Nellie' clients that I need to make a phone call to," said Lee Baker,...

When investment performance is too good to be true

October 10, 2018

While past investment performance should never be interpreted as an indicator of future returns, a rare snafu involving the Great-West Multi-Sector Bond Fund (MXUGX) shows that sometimes past investment performance isn't even an indicator of...

Baird adds $610 million by recruiting teams from Wells Fargo, Morgan Stanley

October 9, 2018

Baird's private wealth management business has brought on three veteran financial advisers who manage a combined $610 million. Gerald Galbraith and Cathie Coleman of The Galbraith Group in Abilene, Texas, oversee $220 million in assets and generate...

Charles Morrison, Fidelity head of asset management, to retire at year end

October 8, 2018

The president of asset management at Fidelity Investments is retiring after nearly 32 years with the Boston-based financial services conglomerate. Charles Morrison, 57, who has led the asset management division for nearly five years, is vacating...

FPA welcomes conference attendees with #MeToo notice

October 4, 2018

Attendees of the Financial Planning Association's annual conference in Chicago this week were greeted at registration with a sobering reminder of the times in which we live, in the form of a card detailing the conference harassment policy. The...

New FPA survey reveals characteristics of top advisers

October 3, 2018

Building better relationships with clients is never a bad thing. But the most successful financial advisers also are able to leverage technology to dissect and solve client problems — and then dish out the tough love of delivering straight...

Sanctuary Wealth Partners rolls out red carpet for breakaway brokers

October 1, 2018

Sanctuary Wealth Partners has signed its fifth advisory team in as many months, bringing its total assets under to management to $5.5 billion. The Indianapolis-based hybrid RIA announced Monday the addition of RiceBarrett Family Wealth, a $240...

Helpful hints on working with nonprofits

September 27, 2018

If advisers are thinking about developing a niche of advising nonprofit organizations, the first thing one veteran adviser suggests is to take an interest in the objectives of the group. "Have an interest in or be aligned with the mission of...

XY Planning Network experiences the pains of rapid growth

September 26, 2018

The XY Planning Network kicked off its annual conference in St. Louis this week with a benchmarking study showing that its members, like many of their clients, often face sharp learning curves. While it would be difficult to dispute the innovation...

Tips on special-needs planning

September 25, 2018

When Alexandria Nadworny talks about working with clients who are caring for family members with special needs, she starts with the basics. "The language you use is important, which is why you always put the person first," she said. "It's not...

Private Ocean grows to $2.2 billion with acquisition of Mosaic Financial

September 24, 2018

Private Ocean is continuing its expansion in the San Francisco area with the acquisition of Mosaic Financial Partners. The addition of the $620 million advisory firm gives Private Ocean a presence in San Francisco and the North Bay and East...

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