Results for "compensation and staffing"

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Making it a priority to work with clients' children can pay off

November 3, 2013

When Kathy Fish's biggest clients, a married couple, died within a year of each other, she worried that their two children would walk their parents' assets right out the door, since most children don't retain their parents' adviser after they...

Bill Gross quacks the whip on other rich folks

November 1, 2013

How PIMCO's Bill Gross got so filthy rich and why he now calls other rich folks unwilling to pay higher taxes “Scrooge McDucks.” Things you can say when you're already rich If we learned nothing from the 2008 financial crisis, it is that...

Shrinking pay at Goldman Sachs shows Wall Street poised for bonus gloom

October 31, 2013

Goldman Sachs Group Inc., which set Wall Street pay records when stocks surged and cheap credit abounded in 2007, is again leading the industry as markets boom anew: By putting aside less money for employees and more for shareholders. Goldman...

Advisers still leaving wirehouses but there's no exodus

October 31, 2013

Financial adviser headcount at the big four wirehouses has declined less than 2% in the last three years, and some industry observers see signs that fewer brokers will be leaving in the future as new regulations take effect. As of Sept. 30,...

RIAs need to focus on compensation to foster growth, advisers told

October 30, 2013

Of the more than 150 financial advisers attending the Fidelity Inside Track Conference this week, 68% said that they plan to add an adviser within the next year. Given that growth spurt, compensation has become a key issue when it comes to maintaining...

For LPL, recruiting numbers add up

October 30, 2013

Recruiting came roaring back in the third quarter for LPL Financial, which added 154 net new registered representatives and advisers for the three-month period ended Sept. 30. The firm added 40 registered reps from a bank, which LPL declined...

Women in the advice business

October 29, 2013

Source: 2013 InvestmentNews/Moss Adams Adviser Compensation and Staffing Study.

Incentive compensation: The new rules for advisers

October 25, 2013

It's clear the strongest firms are committed to recruiting top talent with top compensation. According to the 2013 InvestmentNews/Moss Adams Adviser Compensation and Staffing Study, adviser compensation has grown since 2011 and there is high...

5 high-level firm positions commonly held by women - Women at the top

October 23, 2013

The InvestmentNews/Moss Adams Adviser Compensation and Staffing Study captured compensation information for 24 positions employed by independent advisory firms. The following is a snapshot of the results for high-level advisory firm roles commonly...

Morgan Stanley hires two adviser teams managing $678M

October 21, 2013

Morgan Stanley Wealth Management has hired two teams of financial advisers who managed $678 million for their clients at Edward Jones and UBS Wealth Management Americas. Ted and Aaron Bowling joined the brokerage's Oklahoma City-area office...

J.P. Morgan adds advisers managing more than $3.9B

October 21, 2013

J.P. Morgan Securities LLC has hired eight advisers around the country who previously managed a total of more than $3.9 billion in assets, the wealth management firm said. In the Northeast, Gerry Aroneo and Ray McLean left Deutsche Bank to join...

Innovation drives results

October 20, 2013

InvestmentNews is recognizing firms that have risen above their peers through innovation in practice management, as determined by rankings in both the 2013 IN/Moss Adams Adviser Compensation and Staffing Study and the 2013 IN Adviser Technology...

Work hard and you'll get invited back

September 29, 2013

April Peterson's route to her position as investment service representative should be a confidence-inspiring tale for all the financial planning hopefuls out there: work hard in school, get an internship and perform well enough to get invited...

One year on, Goldfarb wants amends from CFP Board over fee flap

September 27, 2013

It has been almost a year since Alan Goldfarb resigned as chairman of the organization that oversees the certified financial planner designation. To put it mildly, he's still not happy with how the CFP Board handled the case and would like the...

When hiring, consider what NextGen wants

September 25, 2013

As the financial advice industry continues to grow and evolve, the biggest challenges for financial advisers go well beyond issues related to asset management or even financial advice. At the InvestmentNews Best Practices Workshop in Chicago...

"Commission-only" planners could be next group out of pay compliance

September 25, 2013

CFP holders who describe themselves as “commission-only” could face their own issue with misrepresenting how they're paid under CFP Board rules — a mirror image of the tiff the board has caused among fee-only planners. About 900 CFP holders...

Fidelity zaps more small RIAs with $2,500 quarterly fee

September 24, 2013

Fidelity Institutional Wealth Services will be charging more of its small registered investment advisers a $2,500 quarterly platform fee, beginning next month. The firm will begin charging all firms with less than $15 million in assets under...

CFP Board pulls 'fee-only' designation as choice

September 20, 2013

The Certified Financial Planner Board of Standards Inc. this week removed “fee-only” as a compensation description for investment advisers listed on its website and is telling advisers who had used that label to review the organization's...

Advisers should invest in employing Gen Y

September 18, 2013

Stop competing with other firms to hire proven financial adviser talent and start cultivating some of your own. That's the message of a Pershing LLC white paper released Wednesday. As many as 500,000 students coming out of American colleges...

CFP Board will have last word on 'fee-only'

September 15, 2013

Different definitions of “fee-only” were discussed by the Certified Financial Planner Board of Standards Inc., the Financial Planning Association and NAPFA last week, and while no conclusion was reached, the CFP Board will have the last...

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