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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...

5 ways to protect your firm from robo-advisers - Building a 'robo-shield' for your firm

May 27, 2015

Deborah Fox, the founder of Fox Financial Planning Network in San Diego, California, has come up with a list of tactics for advisers to build a “robo-shield” for their firms. Here are her top five recommendations. (Plus: Robo-advisers want...

7 qualities of the most effective team leaders

May 22, 2015

Any true leader will tell you that success isn't achieved through delegation. It takes partnership and collaboration to build a team that can achieve goals and create sustainable success. I've worked with financial advisers at many stages of...

From the C Suite with Raymond James' CEO Paul Reilly: Listen and learn. But in a crunch, be decisive

May 15, 2015

Paul Reilly's management approach is as deep-rooted as they come. The chief executive of Raymond James Financial is the third of eight children — and cultivated his listening and peacemaking skilIs growing up. The talents have come in just...

Avoid these 5 moves if you want to hire the best young talent

May 15, 2015

Financial advisers on the hunt for next-generation planners should avoid making these mistakes if they want to attract and retain the best of this young group of professionals, said Caleb Brown, co-founder of New Planner Recruiting. He was speaking...

Lessons from Duke's Coach K: 3 keys to leading an exceptional team

May 13, 2015

When Fidelity Investments scheduled Mike Krzyzewski, the men's basketball coach at Duke University and the U.S. national team, to give the keynote address at their executive summit earlier this year, I doubt they foresaw that Coach K would just...

Adviser shares secrets for running a successful business

May 13, 2015

A values-driven culture, written business plans and the room to make mistakes are important factors in an advisory business' success, said one founder of a thriving firm. Advisers should figure out which goals are meaningful to them, and not...

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