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RIAs could be ultimate winners if DOL fiduciary rule is repealed or delayed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

TruClarity targets midsize wirehouse breakaway reps to launch new RIA firms

January 6, 2017

A relative newcomer to the general concept of rollups and strategic acquirers, TruClarity is making a deliberate push for midsize wirehouse brokers looking to breakaway as registered investment advisers. Just 18 months old, TruClarity, based...

Raymond James recruits Oregon adviser from Morgan Stanley

January 4, 2017

Raymond James & Associates has recruited Portland, Ore.-based brokerage representative Katherine Fisher-Schultz from Morgan Stanley. Ms. Fisher-Schultz, who managed more than $170 million in client assets at Morgan Stanley, has joined Raymond...

UBS fires top Connecticut broker Phil Fiore Jr. for multiple violations

December 28, 2016

UBS Financial Services Inc. late last month fired a top broker based in Stamford, Conn., for not keeping his employer informed of outside business activities, even while he was under heightened supervision. Phil Fiore Jr. was discharged at the...

How to keep clients from going wild when the Dow hits 20,000

December 14, 2016

As the Dow Jones Industrial Average closes in on 20,000, analysts are talking about animal spirits — specifically, bullish ones — returning to Wall Street. Are your clients clamoring to charge into the market? What do you tell them? First,...

Milwaukee-based advisory firm managing $344 million joins Ameriprise from Morgan Stanley

November 29, 2016

A Milwaukee-based advisory firm with $344 million under management has joined Ameriprise from Morgan Stanley. Scott Latzke and Mark Filla, making up The Filla Latzke Group, said in a statement that Ameriprise was the best fit for their firm....

What you can learn from 30 years of stock-picking

November 10, 2016

You can learn a lot about investing in 30 years, and if you don't believe it, check out the class of 1986 — fund managers who have each run their fund the past 30 years. That's exactly what the Ariel funds did Wednesday, gathering together...

Leadership insights from former President George W. Bush

November 3, 2016

I was fortunate to be invited to have dinner and witness a conversation with the 43rd President, George W. Bush, exactly one week before the election. Given my own sense of frustration with the candidates thrust upon us this year, it was an...

Janus in a double whammy as assets flee and revenue drops

October 27, 2016

Janus Capital Group, in process of being bought by Henderson Group, saw $2 billion in assets flee in the third quarter. To make matters worse for Janus, revenues have dropped from lower fees. If you think that regulators are done scrutinizing...

Finra launches extensive sweep of broker-dealer cross-selling

October 26, 2016

In the wake of the Wells Fargo scandal, the Financial Industry Regulatory Authority Inc. is conducting a sweep of broker-dealer firms to see what kind of cross-selling programs they have been offering. Finra is requesting an extensive list of...

Finra shouldn't hype 'broken' BrokerCheck to investors: PIABA

October 20, 2016

The main resource that the public uses to learn about brokers and their firms, Finra's BrokerCheck, doesn't include the reasons a financial professional's employment was terminated and other details investors should have before deciding whether...

Financial advisers' business models need changing to win over millennial clients: expert

September 29, 2016

Financial advisers are being advised to step up their game when it comes to the next generation of clients. “We need to change our business models, and change the way we're doing business, particularly when it comes to millennials,” said...

Elliot Weissbluth on how he uses dyslexia to his advantage

September 9, 2016

Before turning HighTower Advisors into a financial advice company with $35 billion in assets under management and 500 employees, Elliot Weissbluth had to learn how to live successfully with dyslexia. Most notably, he figured out how to use it...

7 surprising careers that led top advisers to their current calling

August 31, 2016

Some of the nation’s most well-known and successful financial advisers started out in careers very much outside the planning field, but they picked up some essential wisdom and skills that still serve them well.

Adviser Olympians offer financial tips to athletes competing in Rio and beyond

August 5, 2016

Former Olympic athletes who are now financial advisers encourage America's 554 competitors at this summer's games to enjoy their time in Rio de Janeiro, but also keep in mind their future wealth prospects. Medal winners in certain popular sports...

Troubling surprises advisers discover when switching firms

July 12, 2016

Even though advisers often ruminate for many years before going independent or even changing brokerages, many are still surprised by certain realities of the shift. Most of the difficulties relate to administrative responsibilities and back-office...

What to say when clients hate you for advising international investments

June 24, 2016

If you're a financial adviser, you probably get occasional questions about your investment recommendations. And if you've put 15% to 20% or more of your client's assets in international funds, many of those questions may have been more pointed...

Layoffs hit Pimco, GMO as assets shrink amid flight from active management

June 17, 2016

Layoffs have been scarce in the mutual fund industry, but they have hit two complexes recently: GMO and Pimco, which are suffering from declining assets as investors flee active management in favor of passive strategies. Boston-based Grantham,...

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