Results for "compensation and staffing"

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Build trust with clients through clear communication and transparency

January 26, 2015

Some of the most successful, honest and reputable advisers I've interviewed over the years have cited that what makes them different is that they — unlike less scrupulous advisers — actually do what they claim and truly have their clients'...

Brokers under White House scrutiny for costing workers billions in retirement savings

January 23, 2015

One of President Barack Obama's top economic advisers said abusive trading practices are costing workers billions of dollars in retirement savings each year and called for stricter rules on Wall Street brokers. Jason Furman, chairman of President...

Taking over an adviser's book can be a risky venture

January 22, 2015

Stepping into the shoes of a retiring financial adviser may sound easy compared to the business development efforts it takes to recruit an entire practice of clients. But even after making it through the difficult task of completing such a deal,...

Good looks aren't everything, but it might help you attract more assets

January 22, 2015

Better-looking money managers attract more clients, but they also tend to underperform. So, there's that. Looks aren't everything The winning bidder in an IRS auction for $2 million worth of annuity payments from a 1985 contract between the...

10 developments to watch in the independent broker-dealer industry in 2015

January 18, 2015

Advisers and their independent broker-dealers saw movement last year in regulation, investment products, business strategies, retirement vehicles and more. Here are 10 of the hottest topics, which are sure to continue to evolve as the year unfolds....

It's about more than payouts

January 18, 2015

When looking for a new broker-dealer, many advisers start with the basics. Payout and cost of doing business are usually at the top of the list of due-diligence questions advisers use to determine if a firm is a good fit. But the independent...

Persuading clients to defer enough salary

January 18, 2015

Everyone has hurdles to jump. For financial advisers, many of them come in the context of business development: attaining and then ex-ceeding X number of clients, gathering Y in assets under advisement or management, pushing the profit margin...

Financial adviser rises in list of top jobs

January 13, 2015

A ranking of America's top jobs found that financial advice increasingly is a terrific profession, moving up 16 spots on the U.S. News and World Report list from last year. “Financial adviser” ranked No. 25 of the 100 Best Jobs of 2015,...

Hedge fund employees enjoy the fruits of their labor

January 9, 2015

Hedge fund employees enjoy the fruits of their labor, even if that labor didn't bear much fruit. Average compensation at $368k Pimco and JPMorgan add their seal of approval by jumping on the smart beta bandwagon. The fundamental-indexing category...

Merrill loses advisers managing $18.6 billion in 2014

January 8, 2015

In the game of musical chairs that is veteran broker recruiting, Bank of America Merrill Lynch was left without a seat coming out of 2014. Last year, Merrill Lynch lost some 45 advisers who managed around $18.6 billion, an 80% increase from...

The biggest adviser moves of 2014 - Ranking the billion-dollar moves of 2014

December 22, 2014

According to InvestmentNews' exclusive Advisers on the Move database, a total of 388 adviser moves were reported in 2014. These moves resulted in a combined $84.7 billion in assets changing firms this year. Who were the biggest advisers to take...

CFP Board head of enforcement leaves in midst of compensation-definition disputes

December 19, 2014

The head of the legal and enforcement arm of the Certified Financial Planner Board of Standards Inc. has left the organization while it is embroiled in disputes over compensation descriptions for its mark holders, raising questions about its...

Wells Fargo tweaks deferred comp, pay on stock trades

December 17, 2014

Wells Fargo Advisors' private client group has made small tweaks to its 2015 comp plan that provide some new deferred compensation incentives, while retracting or modifying other payouts. The plan, which was rolled out on Wednesday to the firm's...

Exiting American Realty Capital Properties, Schorsch to give up $100 million in pay

December 16, 2014

Nicholas Schorsch, American Realty Capital Properties Inc. (ARCP)'s former executive chairman, is walking away from a compensation package valued at about $100 million, company filings show. Mr. Schorsch, who resigned on Dec. 12, is giving up...

Most advisory firms don't have a strategy for landing client referrals

December 15, 2014

There are a lot of figures that get thrown around about attracting new clients in the advisory industry. One that we frequently hear at InvestmentNews Research is that approximately 70% of a typical advisory firm's new business is referral-driven....

United Capital acquires $500M firm

December 15, 2014

United Capital announced its biggest acquisition of the year Monday, a $500 million asset firm that was previously affiliated with Ameriprise Financial. United Capital's latest acquisition, Ellis & Ellis, serves 700 households and is based in...

A whirlwind of change — transitioning into the financial planning industry

December 14, 2014

The last six months have been full of transition. The first wave of change was graduating from William Paterson University in New Jersey and accepting a job as an associate financial adviser with FJY Financial in Virginia. My emotions were mixed;...

The more I learn about planning and taxes, the more interesting the job gets

December 14, 2014

During the past five months at NorthWest Financial, I have learned a remarkable amount about all aspects of financial planning, from the technical side of concepts and strategies to the relationship essentials of connecting with clients and...

Young advisers go from learning to doing

December 14, 2014

Halfway through their first year in the advice business, the six young professionals InvestmentNews is tracking for its Year 1 project — to better understand adviser experiences as they enter the industry — have gained confidence and skills....

UBS, Merrill increase bonuses for new assets and banking referrals

December 12, 2014

If you want to know where the largest brokerages see the business going, look no further than their brokers' compensation plans. Both UBS Wealth Management Americas and Bank of America Merrill Lynch are tweaking their advisers' pay plan next...

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