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Credit Suisse snags ex-Merrill distribution exec

May 25, 2011

Credit Suisse Asset Management LLC has nabbed a key executive to oversee its distribution in the wealthy and third-party retail channels. Bob Alderman, a 20-year distribution veteran at Merrill Lynch & Co. Inc., started at CSAM earlier this...

Vanguard, Fidelity top list of social-media-savvy fund managers

May 23, 2011

The Vanguard Group Inc. and Fidelity Investments top a list of firms in the asset management industry ranked by how well they use social media. In a survey conducted by kasina LLC, firms were rated on audience engagement, how well they integrate...

Winning over prospects and generating new referrals: What works?

April 22, 2011

Finding good sources of referrals and winning over prospects is more of an art than science. Take this classic example: One adviser told InvestmentNews that he once did a television appearance in hopes of raising his profile and winning new...

The rise of the RIAs: $1.7T and counting

March 4, 2011

David O'Brien, a financial adviser in the Richmond (Va.) suburb of Midlothian, likes to visit his clients in their homes. At kitchen tables and on front porches, he counsels them on how best to save, invest, and plan for retirement. Shepherding...

SEC said to ‘sweep' advisory firms for social-media info

February 14, 2011

The Securities and Exchange Commission is said to have begun a sweep of registered investment advisers' use of social media and social networking, according to officials at an industry compliance firm. The SEC has asked advisers for documentation...

Reaching out to Generation X and Y investors

January 16, 2011

With so much attention focused on baby boomers, it is easy to forget about the investment needs of the tens of millions of members of Generation X (roughly 34 to 45 years old) and Generation Y (16 to 33). It turns out that these younger investors...

Focus Financial picks up $575M RIA

January 12, 2011

Pettinga Financial Advisors Inc. has joined Focus Financial Partners LLC. The registered investment advisory firm based in Evansville, Ind., has about $575 million under management. Terms of the arrangement, which was announced Tuesday, were...

Profiling? Advisers get more time to work up bios of staff

January 11, 2011

Advisers have an additional four months to prepare “plain English” brochure supplements about their investment personnel thanks to an extension granted by the Securities and Exchange Commission late last month. The extension for the supplements...

Twitter, Facebook rules leave reps with little to say

December 3, 2010

Social media sites such as LinkedIn and Twitter are redefining the way businesses reach their customers. Securities firms are largely absent from the revolution. Regulators and company rules at brokerages have slowed the adoption of social media...

Hampered by firms, most advisers rely on self-marketing

November 14, 2010

Financial advisers seeking to improve their relationships with clients following the recession find themselves battling their own firms, according to a new survey. Advisory firms often block advisers from using social media that could help them...

Growth area for advisers: 'Accidental entrepreneurs'

November 14, 2010

Deep job losses from the Great Recession, combined with dried-up job markets, have created a class of “accidental entrepreneurs” — people who start businesses because they have few other options. Financial advisers, seeing more and more...

Why investors fear their advisers

November 7, 2010

The series of scandals following the financial meltdown clearly has left an impression on the investing public. In a study set for release today, mid- and late-career investors 28 to 64 said that getting ripped off by their financial advisers...

Where will the next gen of advisers come from? Probably here

October 27, 2010

Out of the hundreds of FAs at the Schwab IMPACT conference here in Boston today, there's a group that stands out from the rest the moment you walk into the exhibit hall: the financial advisers of tomorrow. Several universities with financial...

Advisers face soaring health coverage costs

October 24, 2010

Escalating medical costs and increased expenses associated with the health care reform law are driving double-digit increases in health insurance premiums at many financial advisory firms. For some, a projected increase of 20% or more poses...

RIA giants rebound

September 8, 2010

The top 50 largest registered investment advisory firms managed $127.2 billion as of the end of the second quarter — up a sizable 16% from the end of the second quarter in 2009. Moreover, the top-50 RIAs averaged close to 3,600 accounts per...

Do your homework before starting a newsletter

July 18, 2010

Newsletters are a great way for financial advisers to stay connected to clients, but they may also bring down the wrath of regulators if certain guidelines aren't followed. More advisers are using newsletters to inform clients about the markets...

Good news about bad 'customer service'

June 13, 2010

One quote in a story by Jeff Benjamin in our RIA Rundown special report (InvestmentNews, May 31) caught my eye. “This business is about service, and that's why you lose more clients for bad service than you do for bad performance.” Those...

Advisers: How to increase your job satisfaction

May 19, 2010

Nothing is more critical to the career of a financial adviser than the satisfaction that he or she derives from their work. Granted, this can be said of every profession, but a “financial adviser” is one of the few professions that offers...

Financial planners rebuffed by military

May 16, 2010

Thanks, but no thanks. That's the message the U.S. military is sending to financial advisers and groups representing advisers who want to offer free financial planning to active-duty servicemen or women, or their families. Indeed, for much of...

Advisers driving for growth on the golf course

April 25, 2010

When adviser E. Kim Dignum invites clients or prospects out to play the hilly, meandering course at Mira Vista Country Club in Fort Worth, Texas, she obeys her one unspoken rule of golf etiquette: Play to win. “I never throw a round for clients,”...

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