Results for "succession planning"

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The most valuable thing an adviser can do for clients in 2015

December 10, 2014

As we head into 2015, advisers will have myriad opportunities to read industry pundits' prognostications on what to expect in the coming year. Unfortunately, my own crystal ball is in the shop, so instead I'll offer some context that I hope...

Tony Robbins gets advisers talking at the 2014 MarketCounsel Summit

December 9, 2014

Tony Robbins brought his message championing independent advisers and a fiduciary standard on the road, taking the stage at the 2014 MarketCounsel Summit in Las Vegas, Nevada. His comments got advisers talking on Twitter, and we've pulled together...

Next Financial Holdings' D'Angelo resigns as CEO, chairman

December 5, 2014

Gordon D'Angelo, the chief executive and chairman of Next Financial Holdings Inc., the parent company for independent broker-dealer Next Financial Group, has resigned. Mr. D'Angelo was one of the first 45 registered reps and six original principals...

Convergent chairman resigns

December 5, 2014

In addition naming a new chief executive officer, Convergent Wealth Advisors has appointed a new chairman. Steven Lockshin, the firm's founder, is stepping down from his role as chairman and will be replaced by Richard Gershen, the executive...

Convergent, rocked by suicide of CEO, announces replacement

December 3, 2014

A little over two months after the firm's chief executive, David Zier, died of an apparent suicide, Convergent Wealth Advisors has appointed chief operating officer Douglas Wolford as its new CEO. Mr. Wolford, who had been operating as interim...

5 steps to building enterprise value

November 26, 2014

As advisers you have the job of measuring value: The value of assets, the value of a trade, the value you bring to your relationships with your clients. But the ultimate value, that all of these things build to, is the total value of your business....

It's time for a revolution in how advisers work with couples

November 11, 2014

The financial services industry needs a couples revolution. This revolution would result in a real shift in how the advisory field views and work with couples. No longer would it be commonplace for advisers to meet with just one partner to discuss...

Financial Engines CEO to step down in 2015

November 10, 2014

Just as the investment adviser he helped found hits $100 billion in assets under management, the chief executive of Financial Engines Inc., Jeffrey Maggioncalda, said last week he is stepping down after 18 years. Lawrence Raffone, who is currently...

Jump-start succession planning by broadening advisers' perspectives

November 5, 2014

The goal behind everything we do at the Financial Services Institute is strengthening and protecting the independent-financial-services industry. Most of the time, that means communicating with legislators and regulators, but often it means...

To recruit young advisers, show them a path

November 3, 2014

I'll never forget the line that prompted me to become a financial adviser: “You'd be an idiot if you don't do this.” That blunt statement, made by Blair McCarthy, the adviser who had been recruiting me to join his firm, really got my attention....

Yes, you need a brand. You really do.

October 31, 2014

Every financial adviser—whether practicing at a wirehouse, bank, RIA or as a sole proprietor—needs a personal brand. Your personal brand should differentiate you in your firm or in the marketplace and position you as an expert. “Finding...

You can't always get what you want

October 26, 2014

It is not uncommon to place a high value on possessions we hold near and dear to us: a cherished coin collection, a vintage automobile, even the house we've lived in for 25 years, where we've raised our children. And that's why it is often a...

Two big developments in retirement planning grab advisers' attention

October 25, 2014

Two big developments in the realm of retirement planning made waves this week. The ongoing regulatory headaches plaguing LPL Financial were again in the news, this time making a direct impact on the company's bottom line. InvestmentNews highlighted...

Advisory firms aren't worth as much as owners think

October 17, 2014

It's a seller's market, and many advisers looking to unload their firms think they'll get top dollar. But in fact, many have unrealistic expectations of what their practices are worth. Over the past year, buyers paid about 2.2 times annual revenue...

Protecting client information is more than just a computer issue

October 13, 2014

With Internet scams, phishing, identity theft and just plain burglary, we investment advisers have an enormous responsibility to keep our clients' personal information safe. Try as I might, it seems that every few months, I hear of some new...

The ultimate payoff of advisers striking strategic partnerships

October 7, 2014

Most independent advisers spend almost half of their working hours on non-client-facing projects, such as office administration and management, investment research and asset management, and professional development. In other words, advisers...

RIA M&A deals picking up steam

September 29, 2014

Interest in mergers and acquisitions activity for registered investment advisers is picking up, making the rest of this year and 2015 a potentially active year for dealmaking, according to two investment bankers who focus on the businesses of...

The big squeeze II: Rise of the mega-adviser

September 26, 2014

My last post created quite a stir and I felt it was important to clarify a couple of points before going to the next article in the series about “The Big Squeeze.” In particular, two issues seemed to be the focus of attention. The first...

Bridging the adviser generation gap to make succession planning work

September 24, 2014

Emotions can throw a wrench into even the best-laid succession plans — especially when advisers and successors bring conflicting expectations to the table. Now, more than ever, research suggests that emotional wire-crossing could be a growing...

Adviser M&A activity suggests sellers firmly at the helm

September 21, 2014

Practice values continue to increase for advisers, but that doesn't mean the market for advisory firms has peaked, said Brad Bueermann, chief executive of FP Transitions, at the Financial Planning Association annual conference in Seattle on...

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