Results for "client servicing"

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Advisers are drowning in fintech choices

December 10, 2019

The last decade has seen an explosion of fintech and wealthtech companies, to the point where it is difficult to keep track of them all. One of the most popular graphics currently making the rounds on the conference circuit is the Michael Kitces...

Timing matters when it comes to managing sequence-of-returns risk

December 6, 2019

"Time is money" is a popular adage, but when it comes to retirement, it's usually timing that matters most. Significant losses or depletions to savings early in retirement can diminish a retiree's nest egg and derail plans. This is known as...

Why one adviser went all-in on ESG when Donald Trump became president

December 6, 2019

Three years ago, when Jeffrey Gitterman transitioned his $120 million advisory firm to be 100% focused on ESG investing, he said the key to getting clients on board was in the explanation. Even though he admits that the Gitterman Wealth Management...

Citi tells rich clients to stop being so nervous about stocks

December 6, 2019

Citigroup's private bank wants its clients to work on an attitude adjustment. Next year will be "brighter than many expect," Citi Private Bank said in its 2020 outlook — "Staying Positive in a Negative (Yielding) World" — published Thursday....

How to end a client relationship gracefully

December 5, 2019

The recent InvestmentNews Top Advisory Firm Summit presented findings from benchmarking studies and research on trends in the industry. The good news? Many firms seem to be embracing best practices for choosing and keeping the right clients,...

'Text me,' say clients, but many B-Ds don't allow it

December 5, 2019

While 87% of advisory firm employees believe their clients would like to communicate with them via text, 29% of firms have a "no client texting" policy, a new survey from Redtail Technology finds. In addition, the survey found that 40% of respondent...

How advisers can help prevent elder bankruptcy

December 5, 2019

Our golden years should be filled with happiness and leisure, not anxiety and financial hardship. Sadly, the number of elderly Americans filing for bankruptcy relief has increased dramatically over the past three decades. More than one-tenth...

Schwab, Wells Fargo and Edward Jones praised for mobile apps

December 3, 2019

Some wealth management firms are figuring out how to build apps that resonate with retail investors and the effort is paying off, according to a new study by J.D. Power. Apps from Charles Schwab, Wells Fargo and Edward Jones all earned high...

Thriving in a bifurcated economy: Services versus stuff

December 2, 2019

There's a lot of discussion lately about the disparity between the haves and have-nots, whether it's about the wealth gap, with the top 1% controlling nearly as much wealth as the middle and upper-middle classes put together, or the separation...

LPL improves ClientWorks to chop five minutes from account opening process

December 2, 2019

As LPL Financial works to save advisers one hour per day through technology improvements, it is starting with five minutes. The new account opening tool going live Monday on ClientWorks, LPL's digital workstation for advisers, has 30% fewer...

You'd better increase your service offerings, or else find partners who can help

November 26, 2019

Here's a warning: Your clients are going to expect a lot more out of you in the coming years than you are probably providing today. And if you don't start preparing for it, you might as well get out of the business. I've been an adviser for...

Richest of rich are no longer Holy Grail for Credit Suisse

November 26, 2019

Iqbal Khan's successor at Credit Suisse Group AG's international wealth management unit is betting the richest clients aren't necessarily the most profitable. Philipp Wehle, who took over after Mr. Khan's acrimonious split from the lender this...

Fall conferences shine light on the state of the profession

November 25, 2019

I doubt any advisers failed to notice all the buzz in September and October as the conference season came to a close. While advisers often walk away with a myriad of new ideas and insights to apply to their firms, I'd like to point out some...

How to build your OSJ business and attract and retain advisers

November 25, 2019

The adviser landscape is changing. Investors are demanding more from financial advisers, technology is impacting how advisers work with their clients, and a broadened fiduciary standard continues to encourage a shift to fee-based business. Financial...

To move advisers into the future, adoption is the new innovation

November 22, 2019

While many agree on what the future of advice will look like — increased competition from big firms and advisers using technology to offer holistic services beyond investment management — how the industry arrives there is a tougher question....

Advisers who overlook retirement income may face stiff competition

November 21, 2019

In May of this year, the House of Representatives passed a piece of bipartisan legislation — the SECURE Act — which, if enacted, would represent a major step forward in expanding access to guaranteed lifetime solutions for American workers....

Top advisers know which clients are worth keeping, and which to let go

November 15, 2019

A positive company culture and hiring the right talent are key elements of top-performing advisory firms, but what about client selection? According to research from American Century Investments and InvestmentNews, the most successful firms...

Regulators can do more to protect vulnerable, senior investors

November 14, 2019

In recent years, our industry has taken enormous strides to prevent the financial exploitation of seniors. Regulators, firms and financial advisers have united in their efforts to create, enhance and utilize tools designed to protect senior...

How new fintech solutions can assist with Reg BI

November 14, 2019

Financial services organizations have been tasked with showing that their broker-dealers and registered investment advisers are working in clients' best interest under the Securities and Exchange Commission's new Regulation Best Interest rule,...

When will our industry grow up?

November 12, 2019

When will our industry grow up? This past week, I met an incredible young man who is just two years out of college. So far, he seems to have done all the right things, including studying finance, earning his certified financial planner designation...

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