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Boost in SEC examiners to enable closer scrutiny of RIAs

February 21, 2016

The typical registered investment adviser may have let out a howl of fear and loathing when he picked up a recent issue of InvestmentNews and read that the Securities and Exchange Commission was planning to increase its number of RIA examiners...

How advisers can protect their businesses from the onslaught of cheaper competitors

February 17, 2016

Presidential candidates Donald Trump and Bernie Sanders are unknowingly teaching us a good lesson about how to be successful financial advisers. In one corner, you have The Donald, an unfiltered, highly opinionated billionaire. In the other...

Wall Street strategists cutting bait on their 2016 market predictions

February 9, 2016

The year is only 39 days old, but top Wall Street strategists have already lost faith in their bullish estimates for the S&P 500 in 2016. Why strategists are losing their resolve. Three stocks that are staples in the Oracle of Omaha's portfolio...

Which personality test will best help you hire the right candidate?

February 8, 2016

Before choosing a personality test to give to employee candidates or new hires, make sure the tool will reveal something useful. For advisory firms, three favorites of Beverly Flaxington, principal at adviser coach The Collaborative, are the...

You may not be hiring the right position for growth

January 27, 2016

Financial advisory firms that have experienced growth say staying ahead of the curve from a staffing perspective is the best way to be prepared for new assets and clients, which tend to come in spurts. But knowing which area to make the first...

The biggest adviser moves for the fourth quarter 2015

January 25, 2016

2015 was a busy year for adviser movement, according to the InvestmentNews Advisers on the Move Database. In the fourth quarter alone, over $26 billion in assets under management changed firms, totaling 63 teams of advisers. In the graphics...

Form ADV deserves your attention

January 24, 2016

It's that exciting time of year for many advisers. You're probably thinking tax time, but there's something even more scintillating: the annual filing of Form ADV. All kidding aside, this yearly ritual may seem tedious, and those who use outside...

How to calculate a fair salary for a new hire

January 19, 2016

Knowing what to pay a newly hired adviser, paraplanner or client service rep requires advisory firms to use many sources to get the salary right for what a new hire should earn. Those resources include discussions with local firms, an analysis...

4 adviser recruiting predictions for the year ahead

January 13, 2016

It's time for me to give my 2016 predictions for the wealth management industry, with a focus (obviously) on recruiting: 1. The trend of substantive wirehouse teams departing the wirehouses for "anything but a big firm" will continue. My own...

What to do when a colleague's cognitive skills are deteriorating

January 8, 2016

As human beings we encounter ethical choices frequently as we go about our daily lives. Do we tell the clerk at the grocery store he undercharged us for the organic bananas when he mistook them for ordinary ones? Do we return the extra five...

Grow your practice by developing your administrative support team

January 8, 2016

In my travels to various industry gatherings in recent years, I have met with an increasing number of independent financial advisers — even some longtime veterans of the industry — plagued by the same problem. While they've built successful...

Advisers optimistic about 2016 business

January 3, 2016

Adviser eyes will be laser-focused on the Labor Department in 2016, as the agency is poised to finalize new rules requiring advisers to act in the best interests of their retirement clients. But despite concerns about effects the rule might...

2016 outlook from top advice executives

January 3, 2016

"Firm leaders will need to make deliberate choices as they evolve from practices to businesses. With the technology boom and changing investor preferences, principals will need to decide: Do I want to focus on running a business, managing investment...

Not a born salesperson? Don't worry, prospecting can be taught

December 15, 2015

Prospecting new clients is always a priority for financial advisory firms with aggressive growth goals, and those that are training individuals to develop this important skill even before they become lead advisers are finding the most success....

Industry responses to confronting advice's diversity issues reveal racial divide

December 14, 2015

As is often the case with many questions, the answers all depend on who you're asking. Are minority communities under-served by financial advisers? Are advisers who don't target minority communities missing out on a growth opportunity? When...

A Diversity Problem

December 14, 2015

Like many Americans, Gerald Loftin remembers the day the O.J. Simpson verdict was announced. But for him, the memory has an even more painful cast: He almost quit his job as a financial adviser that day.

What it's like being an African-American financial adviser

December 14, 2015

It's lonely and really tough work, according to six financial advisers who are working to build the Association of African American Financial Advisors, known as Quad A. They sat down with InvestmentNews editor Fred Gabriel and reporter Liz Skinner...

Feeding the diversity problem

December 13, 2015

The financial profession might not be sending a “whites only” message to prospective advisers, but it's not holding out a welcome sign either. In fact, the industry has two major problems. It lacks diversity, and it doesn't recognize that...

African-American advisers ID business challenges

December 11, 2015

African-American financial planners have distinct business challenges because a natural market for them, clients from the black community, face some barriers when it comes to the essential focus of advice: money. On average, African-Americans...

5 shocking stats about diversity in financial advice

December 11, 2015

The financial advisory industry is predominantly white and includes fewer minority professionals than other areas of financial services, including financial analysis, accounting and tax preparation, according to U.S. Census data. To highlight...

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