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11 ways advisers are using ETFs and mutual funds

November 6, 2018

A Charles Schwab Investment Management study of investment trends among financial advisers shows a growing preference for the ease of packaged portfolios such as exchange-traded funds and mutual funds, with ETFs gaining ground. The report, “At...

Chief operating officers lift advisory firms to the next level

November 2, 2018

If you're not sure whether your advisory firm is ready to hire a chief operating officer, it probably is. While COOs are often dismissed as simply an added expense, adding one can be a key ingredient in helping a firm grow to the next level,...

Former LPL broker sentenced to 20 years for stealing from clients

November 2, 2018

Former LPL Financial broker Sonya Camarco was sentenced on Oct. 31 to 20 years in prison for stealing $1.8 million from her clients. Ms. Camarco, 46, received 10 years for one count of securities fraud and 10 years for one count of theft over...

SEC panel pushes strengthening Regulation Best Interest, in line with a fiduciary duty

November 1, 2018

The Securities and Exchange Commission's Investor Advisory Committee is pushing to "strengthen and clarify" rules requiring broker-dealers to act in the best interest of investors, potentially sharpening the rules to take the form of a fiduciary...

Bob Oros resigns as HD Vest chief executive

October 31, 2018

Less than two years after departing Fidelity Investments, where he was head of the RIA segment, Bob Oros has announced his resignation from broker-dealer HD Vest Financial Services. According to a statement from Blucora, HD Vest's parent company,...

David Bach and Ric Edelman lock horns in cease-and-desist tit-for-tat

October 31, 2018

With financial services industry consolidation hitting record levels, it's only logical that breakups will also become more common, and some breakups are messier than others. The latest example is the ongoing tit-for-tat between David Bach and...

Advisers carve wealth management unit out of $16 billion asset manager

October 30, 2018

The wealth management ranks inside Madison Investment Advisors have gotten a little thinner after veteran advisers Walter Dewey and Benjamin Dickey spun off last week, along with $400 million in client assets, to launch their own firm, Resonant...

LPL recruits $800 million advisory business from Signator

October 30, 2018

LPL Financial has recruited Seattle First Asset Management from Signator Investors. Seattle First, which has $800 million worth of brokerage and advisory assets, was founded in 2012 by Steven Jones, who stated that the transition to LPL is designed...

Advisers revisit bond ladders as rates rise

October 29, 2018

The rising interest-rate cycle, which is generally bearish for the price of bonds, has some financial advisers embracing bond-laddering strategies to help smooth the ride on the fixed-income side of client portfolios. Buying individual bonds...

Understand where your firm's growth is really coming from

October 27, 2018

When Ed Koch was mayor of New York back in the 1980s, he liked to stroll down the streets of the city and ask people, "How am I doing?" Of course, it was part of the colorful mayor's shtick, but it also was a useful way to help him assess his...

Schwab makes greater effort to help smaller RIAs

October 26, 2018

Schwab Advisor Services ran the numbers and realized smaller advisory firms can represent a bountiful future for the $1.3 trillion custody business. With that in mind the nation's largest custodian has been ramping up its new Center of Excellence...

LPL adds 125 advisers in third quarter

October 26, 2018

LPL Financial added 125 advisers in the quarter that ended Sept. 30, compared with a net loss of 18 advisers in the prior quarter and a loss of three advisers in the same quarter a year ago. In its earnings report, the company reported combined...

Stock market pullback brings out the buyers

October 24, 2018

While some investors and market watchers are interpreting the latest stock market volatility as a call for caution, others see it as a rare opportunity to buy low. "I probably carry more cash than I should in client accounts, but I do it for...

Raymond James' growing adviser workforce pushes brokerage unit to record year

October 24, 2018

A record number of financial advisers helped push Raymond James Financial's Private Client Group to record revenues and profits, the company reported. The adviser ranks climbed to 7,813 at the end of the fiscal year ended Sept. 30, representing...

Wealth Enhancement Group buys second Philly-area RIA in as many months

October 23, 2018

The buying spree continues at Wealth Enhancement Group as the $9.7 billion Minneapolis-based hybrid firm agreed to acquire its ninth independent advisory firm in the past five years. The most recent deal, announced Tuesday, involves GDM Advisory...

RIA firm valuations climbing, but not yet back to 2008 levels

October 22, 2018

A dearth of formal succession plans combined with record-level equity markets continues to drive consolidation among registered investment advisers. An analysis by DeVoe & Co. of third-quarter acquisition activity shows RIAs are being purchased...

LPL snatches $3.7 billion Exemplar Financial from Cetera

October 22, 2018

LPL Financial has delivered the latest salvo in its bitter rivalry with Cetera Financial Group by recruiting Exemplar Financial Network, a Crystal Lake, Ill.-based firm that supports $3.7 billion in assets under management. The firm ended its...

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...

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