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Advisers shutter offices to brace for Hurricane Matthew's punch

October 6, 2016

As Hurricane Matthew forces evacuations in Florida, Georgia and South Carolina, financial advisers in the Southeast are preparing to test out continuity plans the Securities and Exchange Commission has been pressing them to enhance in recent...

Self-funding employee health care pays off for some small businesses

October 5, 2016

The rising price of health-care premiums has more companies paying for their employees' medical expenses themselves rather than buying traditional health plans from insurers. Advisers should be aware of what the option entails for their small-business-owner...

Irrational business decisions advisers don't even know they're making

August 26, 2016

We've all witnessed the rise of behavioral finance, which uses psychological theories to provide explanations for why people make irrational financial decisions. It's intriguing to try to understand just why clients sometimes make poor financial...

Adviser's Consultant: Building diversity at firms makes business sense

August 24, 2016

Marguerita Cheng said for the bulk of her clients, she is the first adviser they've ever seen. About half of the families that Blue Ocean Global Wealth serves are ethnically diverse, and she's most confident that these clients won't be walking...

What interns do and should not do for advisory firms

August 18, 2016

Many financial advisory firms have said goodbye to their summer interns in recent days and some have learned a few secrets over the years to make the process of hiring, employing and keeping in touch with these pre-professionals a rewarding...

5 ways elite RIA firms set themselves apart from the competition

August 4, 2016

Last year a majority of advisory firms saw their revenue levels stall, but a group of registered investment advisers increased their revenue by 23%, according to the new 2016 Elite RIA Study, produced by InvestmentNews Research and BlackRock....

DOL overtime rule could raise employment costs for support staff

July 27, 2016

A Labor Department regulation that will go into effect later this year could increase employment costs for some financial advice firms, possibly forcing them to limit excess employee hours or curtail hiring plans. Under the DOL regulation, any...

Why aren't there more women fund managers?

July 24, 2016

If you're looking for comforting news about the great strides women have made breaking into investment management, you won't find it here. Men still overwhelmingly dominate the field. But the inroads that women have made in money market funds...

How advisers can use technology to avoid burnout

July 19, 2016

Technology has a way of making us work harder. We're reachable 24 hours a day and can handle multiple projects at a time. Yet, our human brains and bodies are not made to run nonstop at full speed. I've learned a few tricks for creatively using...

5 steps to elevate the next generation

July 13, 2016

As an independent firm grows, the role of an owner evolves from being a player on the team, to leading and managing an organization. Eventually, size and complexity will drive the need for greater professional management to help drive the owner's...

6 employee perks to help advisory firms win the war for talent

July 8, 2016

Financial compensation alone isn’t going to help advisory firms attract and retain the best advisers and staff. But a workplace that offers employees benefits that show owners care about their workers’ health and spirits just might, especially...

Why financial advisers should focus on readiness before growth

June 30, 2016

It seems that the goal of every advisory firm is growth. Whether the objective is greater AUM or more revenue, growth is the most sought-after attribute. Yet, is it right to focus on growth before readiness? Growth can come through passive or...

Advisory firms using creative job titles to attract clients, staff

June 28, 2016

Financial advisory firms are starting to embrace the trend of using job titles that reflect the spirit of the position. Think Google's "chief happiness officer." But advisory firm executives aren't just implementing creative titles for the C-suite....

Women to Watch 2016: Nominations open for female leaders of the advice industry

June 19, 2016

When you launch something new, you can only hope it takes off the way you envision. Our Women to Watch initiative did just that — and then some. After announcing our call for nominations last July, we received more nominations than we expected....

Adviser's Consultant: Create work environment that makes greatest employees want to stay

June 6, 2016

Clarissa Hobson knows that the best way to hold on to her firm's star employees is to provide flexibility that offers them the chance to enjoy fulfilling lives outside the office. “To some degree it's generational, but even interns today ask...

RIAs are losing their competitive advantage

June 5, 2016

Registered investment advisers need a new card up their sleeve. For years, RIAs have marketed themselves as being a cut above their counterparts in the brokerage industry. While they followed a fiduciary standard, requiring them to act in their...

The time is now for young financial advisers

May 29, 2016

After graduating from college, Eric Roberge worked at two investment banks and then four different advisory firms within five years, unable to find a company where he felt comfortable. After he decided to start his own firm, he was forced to...

Adviser's Consultant: Be creative when hunting for new clients

May 16, 2016

Scott Hanson remembers handing out fliers during the early days of the advisory firm he co-founded 23 years ago. Sacramento, Calif.-based Hanson McClain began growing by targeting a specific big employer in the area that was downsizing. It became...

Activities every financial adviser should delegate to someone else

May 5, 2016

If you're a financial adviser and you feel overwhelmed by all the things you have to get done or you feel like you're on the verge of burnout from working long days for weeks or months in a row, then there's a good chance you're suffering from...

What to do when a disgruntled client still owes a financial planning fee

May 5, 2016

This month's question comes from an adviser who has a tough client issue. Q: I need your opinion about how to handle a disgruntled client who still owes me part of my planning fee. The client is an elderly woman who came to me after trying to...

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