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3 potential career paths await your next hire

July 10, 2013

Consultant Angie Herbers says not all financial advisers need to worry about setting up career paths for young recruits — only those who want to expand their businesses. Ms. Herbers, an expert in human resources for advisory firms, outlines...

Health of stock market, Wall Street keeping advisers at their firms

July 1, 2013

The number of financial advisers leaving one firm to join another dropped more than 25% during the first half of the year, reflecting advisers' optimism in the state of the U.S. stock market and in the overall health of Wall Street. Through...

Cetera finds replacement for Grist

June 27, 2013

Cetera Financial Group on Thursday announced the hiring of Steve Dunlap as executive vice president for wealth management. He will replace Barnaby Grist, who said in March he planned to leave for personal reasons. Mr. Dunlap joins Cetera from...

Millennials want mentoring, expert says

June 23, 2013

Mentoring is crucial to high-performing Millennials, and advisory firms should be getting involved in helping with these relationships. But that doesn't mean crafting a formal program, according to one workplace expert. The idea of mentoring...

Sentinel Asset Management seeks new CEO

June 20, 2013

Sentinel Asset Management Inc. is searching for a new chief executive. National Life Group, the parent company of the asset manager, said that Christian Thwaites has stepped down as CEO to pursue other opportunities. He joined the company in...

Recruiter says women part of the reason for low numbers of female advisers

June 19, 2013

Women are partly to blame for the shortage of female financial advisers, a top recruiter said yesterday. More often than men, women self-select out of senior leadership roles because they seek a work-life balance that they don't believe they...

The Takeaway: So your client just won the lottery ...

June 7, 2013

Portfolio Carl Richards on how to avoid the easy trap of buying high.  (Bucks) Chris Burba: Sorry, Bad News is not Good News.  (miAnalysis) Is Google the GE of the 21st Century?  (Financial Times) The most heavily-shorted names going into...

MetLife adviser ranks thinning out fast after cuts

May 31, 2013

MetLife Inc. is making good on its plans to ratchet down sales of variable annuities and universal life insurance with secondary guarantees in the U.S. and dramatically reduce head count in its adviser force. Over the past year, the company...

Brokers, advisers facing uphill battle in finding new recruits

May 10, 2013

With the decline in the ranks of financial advisers showing no signs of abating, large broker-dealers and individual investment advisers are faced with the stark challenge of figuring out how to bring fresh blood into the investment advice business....

Adviser numbers will continue to slide: Cerulli

May 7, 2013

The decline in the ranks of financial advisers shows no signs of abating, as too few recruits are joining the industry. The number of financial advisers in the United States fell by 1.3% — or approximately 4,000, in 2011, and will decline...

Hurdles to growth

May 5, 2013

A new survey of college-educated women found a variety of reasons why more are not interested in becoming financial advisers. The survey — commissioned by the Insured Retirement Institute and detailed in a report released today — found that...

Making their way in a man's world

May 5, 2013

Demand for female financial advisers is strong, but the job's attraction undeniably is weak. “There is a very high demand for female advisers because a lot of female clients want to work with female financial advisers and feel more comfortable...

UBS elevates Mathews to oversee ultra high-net-worth business

May 3, 2013

UBS Wealth Management Americas has promoted John Mathews to head of private wealth management, overseeing the firm's ultrahigh-net-worth business. Previously, he was regional director for the Southeast region, which was named region of the year...

More positions to choose from — and fill — in the modern advisory firm

April 17, 2013

The direction of the still-new industry of holistic financial advice is pointed toward growth and maturation. The financial planning firm of today is a sophisticated business. While entry into the industry may not be as easy as in the past because...

Armond Dinverno builds a winning team

April 17, 2013

Armond Dinverno is co-founder and co-chief executive of the private-wealth-management firm Balasa Dinverno Foltz LLC. InvestmentNews spoke with Mr. Dinverno, whose company employs 35 people and manages $2.3 billion in assets, to learn how his...

Using incentive compensation to motivate advisers — and other staff members

April 17, 2013

Matt Cooper is so convinced that incentive-based compensation is the key to continued asset growth that nearly all private client advisers at his firm, Beacon Pointe Advisors LLC, don't receive any base salary. Compensation is 100% dependent...

Raymond James cuts 160 staffers, no advisers

April 12, 2013

Raymond James Financial Inc. has cut 115 jobs from its home office staff in St. Petersburg, Fla., and another 45 nationally in an “unprecedented” round of layoffs in the wake of its acquisition last year of Morgan Keegan & Co. Inc. The two...

Dodd, Frank to deliver keynote at MarketCounsel summit

April 3, 2013

MarketCounsel, a business and regulatory consulting firm to independent investment advisers, announced today that former Senate Banking Committee Chairman Christopher J. Dodd, D-Conn., and former House Financial Services Committee Chairman Barney...

Hey Yahoos, telecommuting not too popular with advisers, either

March 1, 2013

Many financial advisers agree with the notion that Yahoo Inc. chief executive Marissa Mayer put forth when she reined in telecommuters at the Internet search engine company this week — collaboration works best if people are actually together....

B-Ds' parent raises cash, shakes up management

January 25, 2013

National Holdings Corp. said on Friday it completed raising capital and has closed on an $8.8 million private offering of common stock to a group of unnamed investors. The new round of fund raising eliminates all outstanding debt and capitalizes...

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