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Training new advisers by osmosis

September 13, 2013

AdviceOne LLC takes a unique approach to adviser training that does not include instruction on stocks, bonds or even the markets themselves. Its president also won't hire anyone who has more than six months' experience in the financial industry....

Time to re-price old clients

September 12, 2013

Changing what advisers charge existing clients may be the best way to boost firm profitability, a consultant told advisers at the Financial Services Institute Advisor Summit in Washington yesterday. Some experienced advisers have increased fees...

Five years after crisis, advisers can sleep at night, but clients still nervous

September 10, 2013

Five years ago, as Lehman Brothers Holdings Inc. was allowed to fail and Merrill Lynch & Co. Inc. sold its 17,000 brokers to Bank of America Corp. to avoid its demise, financial advisers quickly realized the country wasn't facing just another...

TD bets on wealthy U.S. clients to drive parent company profits

September 10, 2013

Toronto-Dominion Bank, Canada's second-largest lender by assets, is ramping up its U.S. asset- management business while doubling the number of advisers for wealthy American clients in an bid to accelerate profit. Toronto-Dominion seeks to build...

More precise numbers = more trust from clients

September 9, 2013

Clients may have more confidence in financial advisers who use precise numbers, rather than those who round them up or down, new research from the University of California, Los Angeles, suggests. People who use more specific numbers — such...

Gen Z concerns over finances on the rise, survey shows

September 5, 2013

Teens and young adults are increasingly worried about finances — everything from student loans and jobs to whether Social Security will exist when they retire. About 46% of Americans between ages 14 and 23, a demographic sometimes called Generation...

10 best cities for opening a new advisory firm - Location, location, location

September 5, 2013

Financial advisers looking to scratch the entrepreneurial itch, take note. NerdWallet has new data showing the 10 best U.S. cities for starting a small businesss. So when considering branching out on your own, here is the latest ranking of the...

Review disaster plans, SEC warns

September 1, 2013

The Securities and Exchange Commission has issued a risk alert specific to investment advisers, asking them to reconsider their business continuity plans to shorten the time it takes to recover from an emergency. The alert, released last Tuesday,...

Advisers must take closer look at continuity plans, SEC says

August 28, 2013

The Securities and Exchange Commission has issued a risk alert specific to investment advisers asking them to reconsider their business continuity plans to shorten the time it takes to recover from an emergency. The alert, released Tuesday,...

How financially literate are investors? - Testing investor financial literacy

August 22, 2013

Just how financially literate are your prospective investors? A new survey reveals some interesting numbers on how comfortable wealthy individuals are with certain investing concepts. Here's a collection of how this survey's respondents managed...

Liar, liar

August 22, 2013

Nearly one-third of clients don't tell their advisers important information that could affect their financial planning, especially when it comes to their health and marital troubles, a new survey has found. About 29% of people who work with...

Regulators want firms to improve continuity plans

August 16, 2013

Securities regulators are encouraging advisers and other financial services professionals to enhance their business continuity plans and consider implementing recommendations that the agencies developed following Hurricane Sandy. In four pages...

Yelp for advisers?

August 15, 2013

A firm initially aimed at helping consumers choose the best credit cards and gift cards is now looking to do the same for those seeking broader personal-finance help, including selecting a financial adviser. Evolution Finance, parent of CardHub,...

Address the elephant in the room

August 14, 2013

By John Anderson A short while back, Burton Malkiel wrote an op-ed in the Wall Street Journal titled “You're Paying Too Much for Investment Help.” Just about every day, I see advertisements telling investors how easy it would be for them...

Keep an eye out for bad blood among kin

August 1, 2013

Financial advisers who explore family dynamics and look for potential obstacles to intergenerational planning will come out ahead of the competition, according to a communications expert. Learning about relationships between siblings and other...

Communicating with couples requires special tactics

July 31, 2013

Financial advisers who work with couples should speak to both spouses and be ready to shift the focus to one or the other as discussions change. It's “interesting and tricky" sitting in front of a couple, said Kathleen Kingsbury, a wealth...

Investors have little trust in their advisers — fee structures blamed

July 31, 2013

Despite this year's stock market rally, investors are having a hard time trusting their advisers, according to the Forgotten Investor Survey, a poll of 908 retail investors by State Street Corp. As a group, financial advisers are trusted by...

Just in case the worst happens ...

July 29, 2013

Financial advisers who don't operate as at least a partnership need to have a continuity plan in place, or their clients' finances could be temporarily frozen and their heirs iced out of the business altogether if the adviser dies. If a solo...

Advisers have less stress, more fun if they work while on vacation

July 28, 2013

It may sound illogical, but many financial advisers log on to work e-mail during their vacations so that they can actually relax and enjoy themselves. “Checking in helps you feel confident that you can stay abreast of what's going on,” said...

Staycation? Advisers log in when they're off so they can chill out

July 24, 2013

Although it may sound illogical, many financial advisers log on to work e-mail during their vacations so they can relax and enjoy themselves. “Checking in helps you feel confident that you can stay abreast of what's going on,” said Richard...

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