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Hard truths for bosses: When you're the problem, not the solution

November 20, 2014

About a year ago, I realized that our company had grown bigger and more complex than anything I'd ever been involved with. While that should have been cause for celebration, I was feeling frustrated and so maxed out that I could barely sleep...

A road map for navigating the changing financial planning landscape

November 19, 2014

Change is a constant in our industry, and financial advisers must learn and adapt continuously to keep up with changes in the economy, technology, the regulatory environment and a range of other areas. What is not constant, however, is the pace...

Client protection ruse needs to stop

November 16, 2014

It's easy to stoke fear in an effort to cloud or divert attention from real issues. But in the financial advisory world, it's getting harder and harder to ignore key industry players' doing just that when it comes to regulatory proposals. Covering...

3 traits the best investment cultures all share

November 13, 2014

If you don't think culture matters, take a look at the team-first San Francisco Giants, who recently won their third World Series in five years. Sure, the Giants have a few big name players, but their run of championships is defined by a roster...

LPL picks up $520 million hybrid firm from Wells Fargo

November 11, 2014

LPL Financial Holdings Inc. has netted a $520 million hybrid advisory firm from Wells Fargo Advisors' Financial Network. In an announcement Tuesday, LPL said it had in June picked up Goss Wealth Management, a hybrid broker-dealer and registered...

Wells Fargo nets $972M JPMorgan team

November 11, 2014

Wells Fargo Advisors is continuing to build on its summer recruiting momentum with the addition of a trio of former JPMorgan Chase & Co. private bankers who previously managed nearly $1 billion in assets. After bringing in an $830 million duo...

Financial Engines CEO to step down in 2015

November 10, 2014

Just as the investment adviser he helped found hits $100 billion in assets under management, the chief executive of Financial Engines Inc., Jeffrey Maggioncalda, said last week he is stepping down after 18 years. Lawrence Raffone, who is currently...

Look for the next-gen candidate who interviews you: Expert

November 7, 2014

Successful placement of a young professional in the financial advice business requires that both the firm and the candidate thoroughly interview each other, a panel of experts said during an InvestmentNews virtual career fair aimed at next-generation...

Goals-based planning: A 'show me the money' retirement tool

November 6, 2014

Advisers who want clients to make decisions that will lead them to a happy retirement should be using goals-based planning programs to get them there, a behavioral finance expert said. The best goals-based planning techniques remind clients...

Lebenthal taps into a gusher of wealth in oil-rich North Dakota

November 4, 2014

Lebenthal Wealth Advisors, the recently founded advisory unit of the storied Wall Street firm Lebenthal Holdings, has planted its flag far from home in its latest round of hiring. The firm, which has recruited around $2 billion in assets under...

Schwab launches program to boost diversity in RIA industry

November 4, 2014

One of the big messages at this week's Schwab Impact conference is helping advisers change the culture and face of the registered investment adviser industry. As part of this effort, Schwab is launching “RIA Take Advantage,” a multi-faceted...

To recruit young advisers, show them a path

November 3, 2014

I'll never forget the line that prompted me to become a financial adviser: “You'd be an idiot if you don't do this.” That blunt statement, made by Blair McCarthy, the adviser who had been recruiting me to join his firm, really got my attention....

How advisers are guiding clients through critical crossroads

November 2, 2014

For the third of a series of special reports on the Crossroads the financial advice business is facing, we asked the industry's top advisers: How are you guiding clients through today's critical crossroads? Here is what they said: "Changes to...

Yes, you need a brand. You really do.

October 31, 2014

Every financial adviser—whether practicing at a wirehouse, bank, RIA or as a sole proprietor—needs a personal brand. Your personal brand should differentiate you in your firm or in the marketplace and position you as an expert. “Finding...

Big 3 business catastrophes: How to cope with a shock to the system

October 30, 2014

Last Saturday morning, I was making a quick breakfast for my 6-year-old daughter prior to running out to coach her 8 a.m. soccer match. As we ran out the door, I noticed I had six text messages on my cell phone. They'd arrived at 2 in the morning...

Mariner Holdings on hiring spree

October 29, 2014

One of the nation's largest registered investment advisers is looking to hire more talent to keep up with its growth. Mariner Holdings wants to expand its staff by 60 employees immediately. Job openings are located throughout the United States...

Two big developments in retirement planning grab advisers' attention

October 25, 2014

Two big developments in the realm of retirement planning made waves this week. The ongoing regulatory headaches plaguing LPL Financial were again in the news, this time making a direct impact on the company's bottom line. InvestmentNews highlighted...

4 tasks top advisers spend the most time doing - How does your daily schedule compare?

October 23, 2014

Adviser productivity can have everything to do with whether a firm continues to grow and be profitable. Advisers are pulled in different directions all day, needing to balance client and staff demands with all their other necessary business...

Three ways top-performing firms stand out

October 16, 2014

Each year, InvestmentNews' benchmarking series looks at how top-performing firms rise above market conditions and industry competition to set themselves apart. This year's study — the InvestmentNews 2014 Financial Performance Study of Advisory...

Handful of advisers control the majority of client assets

October 14, 2014

As the demand for investment advice increases, only a handful of advisers control the majority of client assets, according to a study by a leading adviser group released Tuesday. The 112 largest investment advisers (the top 1%), or those with...

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