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From the C Suite with LPL's Mark Casady: Stay calm and cheer on

September 10, 2015

Mark Casady still remembers the pit he felt in his stomach 14 years ago when his then-employer landed on the cover of Barron's in a less than flattering story headlined “Foundering.” The story questioned strategic decisions Mr. Casady had...

After drafting your NFL fantasy team, build one for your practice

September 10, 2015

The 2015 NFL season opens tonight, and sports fanatics around the country have been drafting their fantasy teams. However, one of the most important fantasy teams advisers should build is their own financial team. And with this crew, it’s...

Highest paying jobs at advisory firms

September 9, 2015

Financial advisers are earning a pretty penny, even though most haven’t seen much of a leap in compensation over the past two years. But it isn’t just advisers pulling down six figures — high-paid administrative executives and technical...

J.P. Morgan loses advisers with a combined $7 billion in client assets

September 8, 2015

J.P. Morgan Chase has lost five advisers and nearly $7 billion in client assets to Wells Fargo Advisors and UBS in rapid succession. Tuesday, Wells Fargo Advisors announced that financial adviser Christopher Hill will join the firm as senior...

Which adviser designations yield the highest pay?

September 8, 2015

The extra sweat it takes to earn a chartered financial analyst credential apparently pays off for financial advisers in terms of added compensation. Lead financial advisers who have attained a CFA designation earned on average a median $147,743...

Now is the time to evolve your firm's technology

September 8, 2015

As both a long-time practicing financial adviser and industry consultant, I need to view our industry through two lenses. That has forced me to stay up to date on the changing trends. Over the past decade and a half, I have been an early adopter...

Independent advisers' growth is slowing

September 4, 2015

Growth at independent advisory firms is slowing, and advisers may be having a harder time winning new clients. Over the past five years, the industry has seen average revenue rise. But the median rate at which firms are attracting additional...

How to build a 401(k) business from scratch

September 4, 2015

Advisers have poured into defined-contribution territory over the last several years. Before the 2008 recession, approximately 150,000 out of 300,000 active financial advisers were getting paid for services provided to a DC plan, according to...

Ohio firm's secret – go where the clients are

August 31, 2015

When a business wants to improve relationships with clients, sometimes the answer is to get closer to them. Literally. The financial advice firm Carnegie Investment Counsel has done just that. Over the last several years, they've moved from...

Adviser's Consultant: What it takes to retain women advisers

August 31, 2015

Brittain Prigge has helped foster a corporate culture at Balentine that encourages women at the advisory firm to “lean in,” as Facebook executive Sheryl Sandberg would say, and resolutely pursue careers along with motherhood. Making it happen...

The makeup of independent advisory firms has fundamentally changed

August 31, 2015

The following is an excerpt from the Executive Summary of the 2015 InvestmentNews Compensation & Staffing Study, which will publish next Monday. Growth has changed the nature of the independent advisory firm. Adviser ownership used to define...

Avoid assumptions when forming partnerships

August 28, 2015

As the number of mid- to large-size firms in our industry has increased, so too have the discussions related to making partner in a firm. Unfortunately, given that we're still in the experimental stages of this evolution, the discussion is often...

From the ranch to Wall Street: Lessons from a serendipitous career journey

August 26, 2015

I was recently asked to give a keynote speech at the Women's Luncheon at the SIFMA Compliance & Legal Society annual meeting. The charge was to talk about my career and make it relevant to the 400 women in the room. While I was used to speaking...

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.’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...

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