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A whirlwind of change — transitioning into the financial planning industry

December 14, 2014

The last six months have been full of transition. The first wave of change was graduating from William Paterson University in New Jersey and accepting a job as an associate financial adviser with FJY Financial in Virginia. My emotions were mixed;...

Young advisers go from learning to doing

December 14, 2014

Halfway through their first year in the advice business, the six young professionals InvestmentNews is tracking for its Year 1 project — to better understand adviser experiences as they enter the industry — have gained confidence and skills....

The top-ranked fee-only U.S. RIAs by region

December 11, 2014

Northeastern RIAs Firm Total Assets ($M) Total Accounts Discretionary Assets ($M) Discretionary Accounts Nondiscretionary Assets ($M) Nondiscretionary Accounts Employees Chevy Chase Trust Company $18,944.00 2,861 $18,944.00 2,861 $0.00 0 76...

When technology or outsourcing can help, and when it can't

December 11, 2014

Outsourcing to investment advisers can mean anything from transferring responsibility for the entire process of client service to using outside services to handle only specific areas, such as investment strategy, back-office functions or portfolio...

The most valuable thing an adviser can do for clients in 2015

December 10, 2014

As we head into 2015, advisers will have myriad opportunities to read industry pundits' prognostications on what to expect in the coming year. Unfortunately, my own crystal ball is in the shop, so instead I'll offer some context that I hope...

Tony Robbins gets advisers talking at the 2014 MarketCounsel Summit

December 9, 2014

Tony Robbins brought his message championing independent advisers and a fiduciary standard on the road, taking the stage at the 2014 MarketCounsel Summit in Las Vegas, Nevada. His comments got advisers talking on Twitter, and we've pulled together...

Four Convergent veterans depart for Presidio

December 8, 2014

Four veterans of Convergent Wealth Advisors left the firm on Friday to join Presidio Capital Advisors, according to an announcement from the hiring firm. The advisers, including Brian Pierson, Stephen Aucamp, Samantha Dean and Brad Lackey, will...

It's time for transparency at the CFP Board

December 7, 2014

In making peace with Rick Kahler, the Certified Financial Planner Board of Standards Inc. may have quieted one outspoken critic but fired up other planners who were quick to accuse the board of playing favorites. In this case, the planners are...

San Diego: Sunny startup scene offers many opportunities

December 7, 2014

For Michael Brown, a senior portfolio manager, moving to San Diego was a no-brainer. “I fell in love with the outdoors, the beach and skiing,” Mr. Brown said. After 15 years of working in New York and Florida, he and his family “started...

Next Financial Holdings' D'Angelo resigns as CEO, chairman

December 5, 2014

Gordon D'Angelo, the chief executive and chairman of Next Financial Holdings Inc., the parent company for independent broker-dealer Next Financial Group, has resigned. Mr. D'Angelo was one of the first 45 registered reps and six original principals...

Service firms race to help advisers create digital platforms

December 5, 2014

Custodians and other firms that serve financial advisers are scrambling to help them integrate digital platforms that will enable them to profit from younger clients and those with fewer assets. Fidelity Institutional, TD Ameritrade Institutional...

Convergent chairman resigns

December 5, 2014

In addition naming a new chief executive officer, Convergent Wealth Advisors has appointed a new chairman. Steven Lockshin, the firm's founder, is stepping down from his role as chairman and will be replaced by Richard Gershen, the executive...

Clash of the titans: Bionic advisers vs. robo-advisers

December 4, 2014

"Hello Robo, I'm nervous about my investments, I'm not sure they are OK. What should I do? No, I don't want another email telling me everything is fine with my strategy. I really need to know if there's some changes I should be considering,...

Convergent, rocked by suicide of CEO, announces replacement

December 3, 2014

A little over two months after the firm's chief executive, David Zier, died of an apparent suicide, Convergent Wealth Advisors has appointed chief operating officer Douglas Wolford as its new CEO. Mr. Wolford, who had been operating as interim...

A financial adviser career path: The unknown road

November 26, 2014

Our team at The Advisor Center is well-versed in the benefits of a career as a financial adviser or planner. We are often surprised by the number of those outside the industry who are unaware of what this industry has to offer in terms of job...

Advisers must move technology training to the front burner

November 23, 2014

We all know it: Technology is both extremely important and tedious. It's a headache that, when alleviated, lets us get on with the important work of planning for clients' financial lives, and lets us do it more effectively and efficiently than...

It's time for real industry action on diversity

November 23, 2014

In the past year, the financial advice industry has acknowledged that it has to do a better job of recruiting women into the profession. It is now a recurring topic of conversation at industry conferences, and some of the bigger firms are starting...

Embracing two routes to growth helps draw in assets

November 21, 2014

Modera Wealth Management principal Tom Orecchio knows asset growth is the name of the game for financial advice firms, so he's pursuing two strategies to expand the business. The Westwood, N.J.-based firm has spread out business development...

Merrill Lynch loses two advisers with combined $2.1 billion in California

November 20, 2014

It has been a rough week for Bank of America Merrill Lynch. Two advisers who formerly managed around $2.1 billion have departed for rival firms in California, according to spokespeople at the recruiting firms. Both had ties to Merrill Lynch's...

What top firms do differently with adviser technology

November 20, 2014

Today we launch the InvestmentNews 2015 Adviser Technology Study survey. Join the conversation and take the survey now. We do a lot of research here at InvestmentNews around practice management, from taking the pulse of advisory firms' financial...

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