Results for "staffing / personnel"

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Four ways to make a breakaway smoother

December 8, 2015

With Thanksgiving over and the rest of the holiday season creeping up on us, now is the time when advisers begin to finalize their business and strategic plans for the upcoming year. For many on the wirehouse side, that means laying the groundwork...

Set one clear annual goal to help you and your team stay focused

December 6, 2015

The following is an excerpt from “The Sustainable Edge: 15 Minutes a Week to a Richer Entrepreneurial Life,” by Ron Carson and Scott Ford (Greenleaf Book Group Press, 2015). Mr. Carson is founder and chief executive of Carson Wealth. Mr....

The cost of independence

December 6, 2015

Christopher Bray founded Ariel Capital Advisors nearly two years ago, naming the Florida-based advisory firm after his 4-year-old daughter. Now he is being sued by Ariel Investments, a $10 billion Chicago-based mutual fund company, for allegedly...

How advisers can close the industry's gender pay gap

November 29, 2015

InvestmentNews' Women's Issue last week uncovered many realities about life in the financial advice industry. One seemingly positive finding: The gender pay gap is smaller for financial advisers than for the labor force as a whole. Women make...

Advisers: Speak up and share what you know and what you do

November 23, 2015

This week I want to focus on something a little less technical. I want to say thank you. First, thank you for listening. I know you have a choice about how to spend your time and I so appreciate the time and attention you've given this column....

How to encourage the rise of senior women in financial advice

November 23, 2015

For all the advances that women have made in financial services, a large gender gap persists at the top of most advisory firms — an unsettling trend in an industry dependent on the strength of its relationships with a diverse set of clients,...

Sheryl Garrett on the importance of making impartial financial advice accessible to all

November 22, 2015

Sheryl Garrett loves financial planning now, but it took 11 years' working in the industry for the passion to bloom. The founder of the Garrett Planning Network first spent a couple of years as a broker, where she learned she hated selling products....

The pay gap between the sexes is relatively slim in financial advice

November 22, 2015

The gap between what women and men make for doing the same job is a blight on most professions in America. In financial advice, however, pay inequity between the sexes is relatively slim. Pay data for financial advisers collected by InvestmentNews...

RIA firms have room for more women

November 22, 2015

Women who have left Wall Street to launch their own independent registered investment advisory firms offer similar reasons that men give for making the move. Like men, they desire more control over their businesses; they are far more comfortable...

Mentor encouraged adviser's adventure

November 22, 2015

When Christine Damico graduated from college, she immediately started her first job at an advisory firm. Before taking her next professional step four years later, she wanted to veer off the career path briefly and travel overseas. She wound...

Adviser's Consultant: A successor's take on a winning transition

November 18, 2015

Eric Hehman knows handing over the reins of a beloved advisory business isn't easy, but he believes founders should keep in mind that it's no cakewalk for the successor either. The chief executive of Austin Asset, a $640 million registered investment...

Military veterans turn to financial planning as a way to give back

November 10, 2015

One question posed to Didi Dorsett on a military base in Okinawa, Japan, completely changed her life: “What do you do with your money?” Ms. Dorsett was only 22 years old at the time and on her first assignment in the Navy when an older colleague...

The costly mistake 80% of advisers make

November 2, 2015

Succession planning is a critical yet woefully neglected business necessity that could cost advisers millions of dollars if not properly handled. Depending on what survey you read, as few as 1 out of 5 financial advisers have a binding and credible...

Have founderitis? Learn to let go

October 27, 2015

The average age of advisers is well into the 50s, leading to an industrywide search for the next generation of advisers who will lead the firms of the future. Finding the right next-gen adviser is just part of the challenge. For those of you...

Back to the Future: What the advice industry will look like in 30 years

October 21, 2015

In “Back To The Future II,” Marty McFly and Dr. Emmett “Doc” Brown hop in their DeLorean, harness 1.21 gigawatts of power, and leapfrog 30 years into the future, to Oct. 21, 2015. Great Scott, that’s today! To mark the duo’s time-traveling...

Advisory firm owners balance rewarding performance with keeping a lid on compensation

October 18, 2015

Adviser salaries have been stagnant for the past two years, but bonuses are up sharply, reflecting a willingness by employers to reward performance while at the same time keeping a lid on overall compensation. Adviser salaries last year were...

Who earns what?

October 17, 2015

Below is a snapshot. For more information, visit, where you can also benchmark staffing levels, compensation and income statement data based on certifications, firm size or firm type. SALARY BY POSITION...

Former Edward Jones adviser faces jail time

October 16, 2015

A former Edward Jones financial adviser has been sentenced to five years in the slammer for bilking a disabled woman out of more than $100,000. 'I know they have to be thinking I'm the worst person in the world' Bad news for robo-advisers, tech-savvy...

Women's rise to senior positions at advisory firms has stalled

October 13, 2015

Women are well-represented in the financial advice industry from an overall staffing perspective — making up about half of total employees at a typical advisory firm — but that picture changes dramatically when we look deeper. In breaking...

For advisory firms, younger advisers are key

October 13, 2015

Advisory firms are growing at a good clip, and while it doesn't seem as though the trend will grind to a stop anytime soon, leaders are wondering how they can keep it up. The most successful firms are the ones looking at their practice as chief...

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