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America's jobs engine keeps defying forecasts for 2017 slowdown

August 31, 2017

In an economy growing at a moderate pace at best, the U.S. job market keeps on shining. Payroll gains topped forecasts in five of the past seven months, putting the 2017 average increase of 184,000 almost on par with last year's 187,000 and...

Fired Wells Fargo broker barred by Finra

August 11, 2017

A former Wells Fargo adviser, who resigned from the firm in 2015 after allegations that she had made inaccurate statements on a "mortgage gift letter" she signed in connection with another broker's mortgage application, has been barred by Finra....

Edward Jones loses $363 million adviser to Ameriprise

August 10, 2017

Paul Lang, an Edward Jones adviser managing $363 million in Roswell, Ga., has left the firm and joined the employee channel of Ameriprise Financial. Joining him in the move is adviser Emily Ellis. Mr. Lang, a veteran adviser, joined Edward Jones...

9 strategies to avoid adviser burnout

August 7, 2017

When someone has too many job demands and too few job resources, they fail to take enough time out to recharge themselves and they suffer from burnout, according to Paula Davis-Laack, a stress and resilience expert. To avoid burnout, which can...

Wells Fargo team managing $300 million moves to Raymond James

August 3, 2017

Three advisers who managed more than $300 million in assets at Wells Fargo Advisors in Rochester, N.Y., have joined the employee unit of Raymond James. Keith Bock, Mark O. Downey, II, and Jason Peterson will operate as BDP Wealth Management...

Merrill Lynch trio managing $463 million joins Ameriprise

July 20, 2017

Stan Leavitt, who managed $463 million in assets at the Roseville, Calif., office of Merrill Lynch, has joined the employee unit of Ameriprise Financial Services there with advisers David Pratt and Rachael Morton. Mr. Leavitt began his career...

Mark Goldberg exits W.P. Carey for Griffin Capital

June 21, 2017

Mark M. Goldberg, who held several senior positions at W.P. Carey over the past nine years, has joined Griffin Capital, another real estate investment firm, as CEO of its broker-dealer. In addition to heading Griffin Capital Securities, Mr....

Interns will take on several roles at advisory firms this summer

June 21, 2017

Tens of thousands of college students will be toiling away this summer at financial advice internships around the nation, taking on projects like exploring new software and helping firms go paperless to planning office celebrations and client...

6 reasons culture breaks down at an advisory firm

April 12, 2017

The culture of a firm is what makes clients and employees want to join and stay, but business growth and some other factors can threaten even the strongest firm culture, said Ben Harrison, head of business development and relationship management...

7 changes firms need to make to attract more female advisers

March 9, 2017

Women still want mentors and to see other women reach leadership positions, but other surprising workplace changes could draw more females into the financial advice industry. These seven ideas were born from a two-hour discussion by leading...

Decisions in 3 key areas separate top-performing firms from masses

February 5, 2017

The following is an excerpt from “The Enduring Advisory Firm: How to Serve Your Clients More Effectively and Operate More Efficiently” by Mark C. Tibergien and Kim G. Dellarocca (Bloomberg Press/Wiley, 2016). Mr. Tibergien is chief executive...

Banks, credit unions could start buying advisory practices

February 1, 2017

In September, when Salem Five Bank acquired Stumm Financial Services, it set in motion a financial advice model that could become a blueprint for other banks and credit unions, and also represents new distribution for platforms like LPL Financial....

Smarter sellers, buyers bog down RIA M&A activity

January 30, 2017

The number of merger and acquisitions involving registered investment advisers fell by 25% last year. The latest M&A report from Fidelity Custody & Clearing describes the 104 deals in 2016 as an anomaly, and projects transactions for the current...

3 ways financial advisers can get ahead in 2017

January 27, 2017

Everyone's familiar with the famous Isaac Newton quote, “If I have seen further, it is by standing on the shoulders of giants.” However, not many of us actually take his words as sound advice. Too many of us opt to rely on our own experiences...

Aspiriant's focus on scale and aggregation makes it a top-tier RIA consolidator

January 24, 2017

With $10.4 billion under advisement, Aspiriant is muscling its way toward the top tier of serious consolidators of registered investment advisers. Rob Francais, the enthusiastic CEO of the Los Angeles-based RIA, likes to reference his “100-year...

Like Trump? Hate Trump? What happens when politics bubbles up at advisory firms

January 19, 2017

Polarized political discussions are running high following the contentious U.S. presidential election, but most advisory firms are directing their employees to keep politics out of the office. Some have set a special time for employees to air...

Outlook 2017: Advisers reveal their hopes and fears for the new year

January 8, 2017

Joshua Mellberg is avoiding long-term contracts with technology providers and others until his advisory firm has judged the financial fallout of the Labor Department's rule on retirement advice, which begins to take effect three months from...

Steward Partners nears $5B as it continues to recruit wirehouse reps

January 3, 2017

The first hurdle for any wirehouse rep hoping to join Steward Partners Global Advisory is the “no-jerk policy,” which company founders say is more important than experience or assets under management. “We want great people, first, who...

Raymond James scores a duo from Wells Fargo Advisors

December 28, 2016

Raymond James & Associates has recruited a Westport, Conn.,-based advisory duo from Wells Fargo Advisors. Lynn Grossman and her business partner, Brian Vieira, managed more than $230 million at Wells Fargo and will now be working under the leadership...

How financial advisers can get unstuck in the New Year

December 27, 2016

Most financial advisers started their firm because they had a dream for a different life and a vision of how to get there. They're passionate, ambitious and committed to building their new venture. Fast forward a few years and, in all too many...

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