Results for "compensation and staffing"

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Why is adviser compensation flat?

September 5, 2019

Adviser compensation is not growing with the same exuberance as it has in the past. Prior to 2017, adviser wage growth exceeded 5% per year and reached as high as 8% in 2016. Over the past two years, however, average compensation to advisers...

Finra arbitrators award more than $3 million to three former Credit Suisse brokers

September 6, 2019

Finra arbitrators ordered Credit Suisse to pay three former brokers more than $3 million in a case involving disputed deferred compensation. In an award posted Friday, the three-person, majority-public Financial Industry Regulatory Authority...

Advisor Group new bonus program falls short for some advisers

September 6, 2019

Some of Advisor Group's more than 7,000 brokers and financial advisers are underwhelmed by the broker-dealer network's offer of various cash awards and bonuses designed to keep them happy and in their seats as the firm adjusts to new ownership....

Makeover at Wells Fargo Advisors well-received

August 20, 2019

Wells Fargo Advisors continued a reorganization of its wealth management business, cutting about a dozen market manager positions last week. And for some, it couldn't have come sooner. "Wells Fargo Advisors has been top heavy with management...

Take a break! 5 simple summer pleasures

August 14, 2019

Ahh, summer! A time to enjoy a change of pace. Schedules open up as clients leave town for some R&R. You and your staff likely take time off, too. But in addition to vacations, we all need to take breaks throughout the day. In fact, the research...

Financial advisers shouldn't have to stress over health insurance

July 22, 2019

Many of the headlines concerning America's health insurance woes focus on the fraught status of the Affordable Care Act and the ongoing battle among lawmakers about what to do with it. To be sure, whatever your opinion of the current law, it's...

LPL snags $1.1 billion team from Raymond James

July 2, 2019

A team of retirement advisers in the Northwest with $1.1 billion of brokerage, advisory, and retirement plan assets has left Raymond James' independent broker-dealer network to work with LPL Financial. PacNorth Retirement Group of Spokane, Wash.,...

Merrill Lynch advisers should expect current pay grid to stay in place for 2020

July 17, 2019

After two years of taking a carrot-and-stick approach to induce brokers to sign up new clients, Merrill Lynch intends to stand pat going into 2020 and make no major changes to its compensation plan. In late 2017, Merrill Lynch revised its pay...

Focus on fees: Tips from top performers

December 19, 2018

An InvestmentNews Research prediction for 2019: Despite all of the discussions around fee compression, the asset-based fee charged by most advisory firms will not change substantially this year, but we do expect that more firms will place an...

Wells Fargo Advisors slows down outflow of advisers

July 16, 2019

After almost three years of bleeding brokers, Wells Fargo Advisors appears to have stanched the flow of advisers leaving the firm. Its parent bank, Wells Fargo & Co. has struggled with myriad problems and scandals since September 2016, resulting...

Edward Jones loses round in court against former broker who defected to Ameriprise

June 14, 2019

Edward D. Jones & Co. on Thursday suffered a setback in its fight to recoup client assets from a former broker who bolted to rival Amerprise Financial Services earlier this year. A state judge denied Jones' request for a temporary restraining...

Morgan Stanley sees massive growth from giant teams of advisers

June 12, 2019

Morgan Stanley is betting that giant teams of advisers with up to $100 million in annual revenue will be a big driver of growth in the future. That will occur even as the firm sees its total head count of 15,700 financial advisers and brokers...

UBS hires advisers with $2 billion in client assets

July 12, 2019

UBS Global Wealth Management is continuing to selectively hire financial advisers, with brokers recently joining the firm in San Francisco and New York. In June, UBS hired Mariia Eroshin in San Francisco. She had most recently worked at Citigroup...

Long-shot bid for Wells Fargo CEO job gains steam

June 12, 2019

More than two months into Wells Fargo & Co.'s broad search for its next leader, a pitch to keep its interim chief is gaining a bit of steam — thanks in part to the people who don't want the job. Several executives widely seen as attractive...

Building a "fortress P&L" that can get firms through a market downturn

May 16, 2019

After a long period of market growth, are advisory firms protected if the market were suddenly to go through another downturn? How can you tell if your firm is one that could be in trouble? What do you need to do to turn your firm's P&L into...

LPL Financial push for employee model attempt to tap into $11 trillion market

June 25, 2019

At a time when broker-dealers are increasingly trying to come up with business models for advisers who want to act as registered investment advisers, recent moves by LPL Financial left some wondering if the firm was taking a step back in time....

Salary model exploited by rivals

May 4, 2019

The Big Four wirehouses control trillions of dollars of client assets and are not about to disappear anytime soon. But they have been losing individual and groups of advisers to competitors. According to InvestmentNews data, 235 individual advisers...

How top-performing advisers maximize profits

April 8, 2014

The results of the 2013 InvestmentNews/Moss Adams Adviser Compensation & Staffing Study shed new light on what top-performing firms and their producers do differently when it comes to both developing business and maximizing profits. Of the 309...

Lead adviser talent and compensation in the three largest U.S. cities

March 4, 2014

We designed our National Adviser Compensation Database to give individual advisers the power to benchmark their compensation in the most specialized ways possible, in order to meet the needs of an industry that has no shortage of specialists....

Raising the bar on happiness at work

May 7, 2019

Recently, a brief article in the New York Times caught my eye: "A Deceptively Simple Way to Find More Happiness at Work" by Tim Herrera. We all want to be happier at work, right? Alas, there is a reason it is called work. We make a deal to be...

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