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Advisers in Northeast prep for blizzard, close offices

January 26, 2015

Financial advisers in the Northeast heeded official warnings Monday of a “life threatening” blizzard on its way — many sending employees home early and making plans to work remotely over the next couple days if they can't travel into the...

5 surprising challenges of teaming up

January 26, 2015

When advisers join forces they’re able to capitalize on economies of scale, but forming teams and operating them successfully can be a challenge, according to the first quarter 2015 adviser edition of the Cerulli Edge. Here are a few things...

Adviser pool continues to drain, losing 2% in 2013

January 22, 2015

The total number of U.S. financial advisers is still shrinking, but the decline in adviser ranks may have hit bottom for now, according to researchers. Financial adviser headcount fell by 1.9% in 2013 to 287,119 advisers, according to the most...

Taking over an adviser's book can be a risky venture

January 22, 2015

Stepping into the shoes of a retiring financial adviser may sound easy compared to the business development efforts it takes to recruit an entire practice of clients. But even after making it through the difficult task of completing such a deal,...

10 developments to watch in the independent broker-dealer industry in 2015

January 18, 2015

Advisers and their independent broker-dealers saw movement last year in regulation, investment products, business strategies, retirement vehicles and more. Here are 10 of the hottest topics, which are sure to continue to evolve as the year unfolds....

Cetera factor dampens M&A activity among independent broker-dealers

January 18, 2015

Cetera Financial Group chief executive Larry Roth last year articulated a grand ambition, saying he fully expected to have 20,000 brokers on board in five years, or nearly double the 10,100 advisers in the firm's network. But the broker-dealer,...

It's about more than payouts

January 18, 2015

When looking for a new broker-dealer, many advisers start with the basics. Payout and cost of doing business are usually at the top of the list of due-diligence questions advisers use to determine if a firm is a good fit. But the independent...

Ohio State's Cardale Jones: 'No' to the NFL, 'yes' to financial planning

January 16, 2015

Cardale Jones shocked college football fans this week by leading Ohio State University to the College Football Playoff National Championship after the team's first- and second-string quarterbacks were injured. He confounded expectations again...

A New Year's resolution that really works

January 13, 2015

Every year starts with millions of resolutions that are often broken before Valentine's Day. However, there is one resolution that can significantly change your life and it's remarkably easy to put to work: I promise to make no new resolutions...

Financial adviser rises in list of top jobs

January 13, 2015

A ranking of America's top jobs found that financial advice increasingly is a terrific profession, moving up 16 spots on the U.S. News and World Report list from last year. “Financial adviser” ranked No. 25 of the 100 Best Jobs of 2015,...

The 10 best business jobs of 2015 - 2015's best business jobs

January 13, 2015

Where does financial adviser rank among the best business jobs in America in 2015? According to the latest list from U.S. News & World Report, advisers stack up well compared to other business professions. Click through to see exactly where...

Merrill loses advisers managing $18.6 billion in 2014

January 8, 2015

In the game of musical chairs that is veteran broker recruiting, Bank of America Merrill Lynch was left without a seat coming out of 2014. Last year, Merrill Lynch lost some 45 advisers who managed around $18.6 billion, an 80% increase from...

How to evaluate and cope with the people who make mistakes

December 26, 2014

It's crunch time for the National Football League teams as they come down to the final games of the season and fight to make the playoffs. For teams on the bubble or fighting for post-season positioning, every play seems important, every mistake...

The biggest adviser moves of 2014 - Ranking the billion-dollar moves of 2014

December 22, 2014

According to InvestmentNews' exclusive Advisers on the Move database, a total of 388 adviser moves were reported in 2014. These moves resulted in a combined $84.7 billion in assets changing firms this year. Who were the biggest advisers to take...

What's next for financial advice?

December 21, 2014

It's almost impossible to anticipate when innovation will strike and what it will mean for the future. But InvestmentNews attempted to foresee light bulb moments by asking people in the advisory space which area of their business or the industry...

Put your plan in place today

December 21, 2014

"Why do today what you can put off until tomorrow?” — an inversion of Ben Franklin's virtuous commandment — is apt for continuity and succession planning. But it won't hold water as an excuse when regulators come knocking. For years, the...

Most advisory firms don't have a strategy for landing client referrals

December 15, 2014

There are a lot of figures that get thrown around about attracting new clients in the advisory industry. One that we frequently hear at InvestmentNews Research is that approximately 70% of a typical advisory firm's new business is referral-driven....

RIAs to control 28% of assets by 2018: Cerulli

December 15, 2014

Registered investment advisers are not likely to see a slowdown in growth as they continue to climb the ladder in assets under management. Thanks in large part to growth of dually registered advisers, who are also affiliated with a broker-dealer,...

United Capital acquires $500M firm

December 15, 2014

United Capital announced its biggest acquisition of the year Monday, a $500 million asset firm that was previously affiliated with Ameriprise Financial. United Capital's latest acquisition, Ellis & Ellis, serves 700 households and is based in...

The more I learn about planning and taxes, the more interesting the job gets

December 14, 2014

During the past five months at NorthWest Financial, I have learned a remarkable amount about all aspects of financial planning, from the technical side of concepts and strategies to the relationship essentials of connecting with clients and...

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