Results for "staffing / personnel"

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Making room for the next generation of advisers

March 4, 2019

Recently, I read an article in the November issue of the Harvard Business Review (What Happens to Younger Workers When Older Workers Don't Retire) that got me thinking. It focused on the world of symphony orchestras, where many principal oboists...

UBS escalates its pursuit of rich Americans with staff promotions

March 6, 2019

UBS Group promoted 96 employees to the level of managing director in the Americas as it seeks to gain more rich clients and expand in the region. The Swiss bank elevated 60 financial advisers and 36 Americas staff, according to Tom Naratil,...

Wells Fargo CEO Tim Sloan could be hard to oust — here's why

February 22, 2019

Wells Fargo & Co.'s top critic makes it sound so easy. Sen. Elizabeth Warren has made her view clear — again and again — that the bank can't resolve its scandals until it names an untainted replacement for Chief Executive Officer Tim Sloan....

Great-West Life taps Edmund Murphy to succeed Robert Reynolds as CEO

February 7, 2019

Edmund F. Murphy III will succeed Robert L. Reynolds as president and CEO of Great-West Life & Annuity, the U.S. subsidiary of Great-West Lifeco Inc. and the parent of Empower Retirement, of which Mr. Murphy remains president. Mr. Reynolds becomes...

Let's redeploy veterans to save our industry from an impending shortage of advisers

January 10, 2019

During the holiday season, we tend to see a higher than usual number of uniformed military personnel enjoying time with their families in public. What we don't see are the massive numbers of military veterans who no longer wear the uniform but...

5 ways to attract top talent to your RIA firm

January 30, 2019

One of the tightest labor markets in history, combined with the extraordinary growth of the independent advice industry, has created a fiercely competitive environment for attracting talent. Nearly three-quarters (73%) of independent firms planned...

Look for more changes at Cetera Financial Group

February 20, 2019

Robert Moore's resignation from Cetera Financial Group likely signals other changes to come at the giant broker-dealer network, according to advisers and industry observers. Those could range from the firm's owner, Genstar Capital, winnowing...

Robert Moore, Cetera CEO, stepping down for health reasons

February 19, 2019

Cetera Financial Group said on Tuesday that Robert Moore will step down as its CEO, effective March 31, due to health reasons. Mr. Moore will continue to serve as an adviser to the board and executive management team. Ben Brigeman, board chairman,...

How financial services firms can help employee caregivers

December 7, 2018

Financial services firms are in the business of caring for customers — resolving issues, addressing multiple needs and providing a high-touch experience. But some of that care and concern should be directed to our own employees, many of whom...

Alexa von Tobel seeks $200 million for new venture capital fund

January 9, 2019

Alexa von Tobel is seeking $200 million to launch a new venture capital fund called Inspired Capital Partners, according to a Form D filed Wednesday with the Securities and Exchange Commission. The filing comes just a few days after Ms. von...

How to recruit top financial advisers and staff

October 19, 2018

Recruiting new talent at advisory firms is taking on greater importance as the U.S. labor market tightens. The InvestmentNews Adviser Compensation and Staffing Study 2018 Update shows 8% of participant firms had an unfilled professional position...

Federated Investors fires staffers after they used hand signs during TV interview

January 4, 2019

Federated Investors Inc. fired at least two employees for unprofessional conduct last month during a Bloomberg Television interview of one of the firm's money managers. "We apologize to anyone who was offended," Meghan McAndrew, a spokeswoman...

Drive growth today and be positioned to thrive in future markets

November 29, 2018

Recent market volatility may have just done you a favor. It's a potent reminder that the bull market is long in the tooth. Hopefully, all of this volatility has you asking yourself: Is your business prepared not only to weather a prolonged market...

How to be a mentor

November 17, 2018

None of us got here completely on our own. We've all been fortunate enough to have someone along the way, be it a teacher, friend, family member or colleague, who pulled us out of our comfort zone, gave their time to raise us up and pushed us...

5 characteristics of growth-restrained RIAs

June 11, 2018

With competition for assets intensifying across the registered investment adviser marketplace, CEOs of successful RIAs are increasingly focused on aggressive growth strategies to bolster their competitive advantage and add significant value...

Wanted: High-value investment professionals of the future

June 5, 2018

Depending on one's perspective, the future of the investment management profession may be as bright as the noonday sun, or there could be clouds on the horizon. No matter which end of the spectrum you find yourself, we can all agree that innovations...

Vanguard CEO Buckley to add role of chairman

November 1, 2018

The Vanguard Group announced that its CEO, Tim Buckley, will take on the additional role of chairman of the $5.3 trillion asset management company on Jan. 1. As chairman, he succeeds Bill McNabb. "Tim has been a strong, focused leader at Vanguard...

Making new employees part of the team

October 9, 2013

By Caleb Brown Once business owners make an investment in their organization to hire additional labor, it is in their best interest to ensure the new hire is integrated as quickly as possible. However, when incorporating a new employee into...

West

December 2, 2012

Rank Firm Total assets ($M) Total accounts Discretionary assets ($M) Discretionary accounts Nondiscretionary assets ($M) Nondiscretionary accounts Employees 1 Financial Engines Advisors LLC $47,500.0 616,834 $47,500.0 616,834 $0.0 0 350 2 Hall...

The future of new-adviser training is now

October 26, 2018

One of the issues I hear about frequently these days is how to train new advisers. Training takes up valuable time, and most advisers would agree that it's not their forte. Many tenured advisers learned how to function in this industry at a...

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