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Five tips to add fee-based advisory work

August 26, 2015

There's no question that choice and flexibility are the essential ingredients to success in operating an independent financial advisory practice, particularly when it comes to being able to offer the widest possible array of investment solutions...

Use exit interviews to ensure employees are happier than Amazonians

August 20, 2015

The compelling New York Times article that depicts a stressful and brutal work life at the consumer-focused Amazon is a great reminder to all business owners to make sure they're in touch with employee sentiment. One effective way company heads...

Serving the super-wealthy requires extra-special service

August 17, 2015

Paul Tramontano regularly reviews what clients of Constellation Wealth Advisors encounter when they walk through the advisory firm's front doors. Then this chief executive makes the changes necessary to improve the experience. He knows that...

The psychology of regulation: applying nudge theory to compliance

August 12, 2015

The financial crash has transformed the regulatory environment in more ways than one. Financial-services firms, from registered investment advisers and broker-dealers to asset managers and insurers, now find themselves far more heavily regulated...

Save time with temps

August 10, 2015

Advisers can hire freelancers to boost efficiency without having to bring on full-time employees. Freelancer.com’s Nik Badminton, regional director for North America, describes a handful of ways financial professionals have put temporary employees...

I'm a salesperson. You should be, too.

August 9, 2015

Most financial advisers are deluding themselves. They think they can singlehandedly follow the markets, build customized portfolios for clients, handle compliance, prospect for new customers and develop talent on their teams. It's way too much...

What small advisory firms need to do to take their businesses to the next level

July 31, 2015

The wealth management market is thriving, as older baby boomers are retiring and the 50-something late boomers are hitting the last big earning years of their careers — all at a time when younger investors are grappling with the difficulties...

Adviser's goals: Keep clients happy and profit growing

July 23, 2015

Sheryl Rowling cares about where her firm stands in terms of assets under management, but it's the bottom line she wants to improve at Rowling & Associates. “As a business owner, it makes more sense to focus on profit than sales,” she said....

What it means to move from a practice to a business

July 23, 2015

There comes a time in every growing advisory firm's life when the owner has to stop managing a practice and start running a business. For Gerard Klingman, owner of Klingman & Associates, that moment came about 10 years ago when the firm reached...

How to attract clients with a female-friendly culture

July 21, 2015

At The Advisor Center, we help financial advisers dissect their businesses in an effort to help them find new affiliations, broker-dealers or RIAs. Going through this exercise, advisers often find they don't actually need to move to improve....

6 ways advisers can benefit from the avalanche of technology advancement

July 2, 2015

If you take a piece of paper and fold it in half 42 times, you'll have a stack of paper that reaches the moon. That's exponential growth. Today's technology is allowing a select group of high-performing RIAs to grow their business exponentially...

Top-ranked adviser firms - Dissatisfaction

July 1, 2015

The 2015 edition of the annual J.D. Power U.S. Financial Advisor Satisfaction Study found a sense of dissatisfaction among some brokerage firms' financial advisers, which can largely be attributed to two key components: compensation and lackluster...

7 traits all successful team leaders share

June 25, 2015

As a successful financial adviser, you soon may find yourself leading a team, or adding more staff. Such responsibility comes with expectations that you'll be a good leader and an effective decision maker. While increased responsibility can...

From the C Suite with Wetherby Asset Management CEO Debra Wetherby: Aim to be inspirational, not authoritarian

June 19, 2015

Along the challenging route toward building a $4 billion advisory firm, Debra Wetherby transformed herself into a more patient and nurturing leader. The Syracuse, N.Y., native learned the value of speaking last in a meeting, one-on-one discussions...

A sure-fire approach to get employees to stay

June 18, 2015

Mark Johannessen leaves nothing to chance when it comes to holding onto Sullivan, Bruyette, Speros & Blayney Inc.'s best people. The McLean, Va.-based advisory firm presents employees with a career path from the start and proactively helps them...

Want more time? Trim client investment options

June 12, 2015

Financial advisers looking to make their businesses more efficient should examine how many different investment products they're using with clients — and consider paring down. On average, advisers are using between 200 and 300 different mutual...

Time for RIAs to break out of the cottage industry mold

June 10, 2015

More often than not, RIAs spend all of their time and energy focusing on their clients and very little on the management of their businesses. Mark Hurley and the Fiduciary Network reported that more than 90% of the independent wealth management...

Breaking up (an advisory firm) is easy to do?

June 9, 2015

Three advisers who have lived through both bitter partnership breaks and now an amicable one said the latter is worth the time and effort because it's easiest on clients. A year ago FJY Financial co-founder Dan Joss left the advisory firm he,...

The top 10 reasons to become a financial adviser

May 28, 2015

With over 40 years of combined experience working with veterans of the financial services industry, our team knows all of the benefits a career path as a financial adviser or financial planner can bring. And while speaking to advisers who absolutely...

Elite advisers focused on employees and operations for future growth

May 28, 2015

The fastest-growing and most profitable financial advisers are focused on improving their internal business operations and their human capital management, a new report found. So-called “elite” advisory firms attributed their top-level performance...

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