Results for "compensation and staffing"

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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...

"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...

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...

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...

Agenda item

September 15, 2013

Finra could act this week on a rule that would force brokers to reveal recruiting incentives to their clients, but the controversial regulation may undergo some changes on its way to final approval. The Financial Industry Regulatory Authority...

Changes expected as Finra weighs controversial broker-comp rule

September 13, 2013

Finra could soon act on a rule that would force brokers to reveal recruiting incentives to their clients, but the controversial regulation may undergo some changes on its way to final approval. The Financial Industry Regulatory Authority Inc....

Finra board to tackle broker comp rule next week

September 11, 2013

The Financial Industry Regulatory Authority Inc. next week plans to consider a revised proposal that would require brokers to disclose the compensation they receive when switching firms. The item is on the agenda for the Sept. 19 meeting of...

Groups try to define a fee-only adviser

September 8, 2013

Financial planning groups will try to mend a rift over how to determine who is a fee-only investment adviser at a meeting in Chicago this week. The gathering of the leadership of the Financial Planning Coalition is not being convened specifically...

Morgan Stanley nabs $1.5B J.P. Morgan team

August 27, 2013

Morgan Stanley has landed a $1.5 billion team from J.P. Morgan Securities LLC in the latest in a series of high-profile, late-summer acquisitions. Scott Siegel, a Barron's top 1,000 adviser, and his team of Mehmet Kirdar, Michael O'Hara and...

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