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How does your advisory firm stack up?

October 18, 2017

With talent so hard to find and keep at advice firms, each practice should have a clear handle on how well it is – or isn't – compensating its brilliant workforce. The benchmarking data below show the greatest range of salaries occurs in...

How adviser salaries stack up to other jobs

October 16, 2017

It's only natural to wonder how much you could be making if you had dedicated your life to another profession, such as information technology, engineering or medicine. Scroll down our listicle to find out! You can see how most financial advice...

Advice industry in hiring mode

October 14, 2017

As the largest independent advisory firms continue expanding, something unexpected has happened along the way. The typical professional at one of these firms is no longer "independent" in the sense that he or she is an owner of the business....

Advice firms in a tricky financial position

October 14, 2017

Efficiency will have to become the new mantra at independent financial advisory firms as revenue continues to slide and compensation climbs. Median annual revenue growth for advisory firms, which has been trending downward since peaking at 16%...

Advice firms need to invest in training and staff development

October 14, 2017

It's no secret that the advice business is having trouble finding new talent to replace retiring advisers, but a new study from InvestmentNews shows just how much that is hurting the financial health of advisory firms. Because firms can't hire...

Employee retention linked to career paths and training

October 14, 2017

As competition heats up among independent advisory firms for both clients and financial advisers, training and guided career paths are emerging as crucial components of recruiting and keeping advisers on board. Yet at a lot of advisory firms,...

Raymond James' indy arm recruits husband-and-wife adviser team in Houston

September 21, 2017

A husband-and-wife team of advisers that managed more than $170 million in client assets at Morgan Stanley in Houston have left to join Raymond James Financial Services Inc., the independent broker-dealer arm of Raymond James Financial Inc.,...

San Diego duo managing $156 million joins Ameriprise

August 24, 2017

Stephanie Karpow and Robert Lester, who managed $156 million in assets at MSI Financial Services in San Diego, Calif., have joined the employee unit of Ameriprise. Ms. Karpow started her securities career in 2009 at New England Securities and...

Merrill Lynch loses $150-million father-son team to Raymond James

August 23, 2017

A 37-year Merrill Lynch veteran broker and his son have decided to join the employee unit of Raymond James. The father-and-son duo of John R. Edgecomb Sr. and John Robb Edgecomb Jr., who managed $150 million at Merrill Lynch, will be joined...

9 big dreams that advisers made come true for clients

August 14, 2017

Financial advisers share their successes helping clients achieve their dreams from arranging a Parkinson's patient first-ever skydive to helping a couple establish a nonprofit animal sanctuary.

Edward Jones loses $363 million adviser to Ameriprise

August 10, 2017

Paul Lang, an Edward Jones adviser managing $363 million in Roswell, Ga., has left the firm and joined the employee channel of Ameriprise Financial. Joining him in the move is adviser Emily Ellis. Mr. Lang, a veteran adviser, joined Edward Jones...

9 strategies to avoid adviser burnout

August 7, 2017

When someone has too many job demands and too few job resources, they fail to take enough time out to recharge themselves and they suffer from burnout, according to Paula Davis-Laack, a stress and resilience expert. To avoid burnout, which can...

Shundrawn Thomas to succeed Stephen Potter as president of Northern Trust AM

July 19, 2017

Shundrawn A. Thomas, currently executive vice president and head of funds and managed accounts group at Northern Trust Asset Management, will succeed Stephen N. Potter as president on Oct. 1, spokesman Doug Holt said in an email. Mr. Potter...

How millennial advisers can foster the entrepreneur within

June 25, 2017

The following is an excerpt from "The Millennial Money Fix" by Douglas A. Boneparth and Heather J. Boneparth (Career Press, 2017). The book publishes August 21. Mr. Boneparth is president of Bone Fide Wealth, a wealth management firm that focuses...

Wirehouse training programs are back

June 24, 2017

Since the financial crisis nearly 10 years ago, luring experienced brokers with big signing bonuses has been the preferred method of hiring at the major brokerages. Brokers loved it because the bonuses put hundreds of thousands of extra dollars...

10 surprising summer jobs advisers have had — and what they learned from them

June 21, 2017

Summer jobs come in all shapes and sizes, but the lessons often last a lifetime. Financial advisers share some of their more memorable summer-work experiences, proving that it’s not where you start, but where you end up, that matters most.

8 secrets for advisers before writing that book

May 1, 2017

The fastest way for financial advisers to become an authoritative source is to write a book on their specialty, but the process is fraught with missteps, experts warn. Here are secrets to making it a successful marketing venture from Adam Witty,...

Most advisers think the industry will continue down a fiduciary path despite rule delay

February 3, 2017

News that President Donald J. Trump plans to order a stop to the DOL fiduciary rule drew mixed reactions from financial advisers. Find out how they think the efforts to implement the rule will impact their businesses and the industry going forward....

Pershing COO Lori Hardwick leaving firm

February 1, 2017

Lori Hardwick, the chief operating officer of Pershing, is leaving the firm to pursue other opportunities, according to a company spokesman. A leading clearing firm for independent broker-dealers, Pershing told its clients about Ms. Hardwick's...

RIAs could be ultimate winners if DOL fiduciary rule is repealed or delayed

January 11, 2017

As potential delays and road blocks pile up in front the Department of Labor's fiduciary rule, an irony is emerging in that the strongest supporters of the rule could benefit the most from the rule's demise. Independent registered investment...

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