Results for "succession planning"

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Fiduciary duty's impact on succession planning

August 31, 2014

Does succession planning impose fiduciary obligations for investment advisers? This recently has become a hot topic of conversation, due in large part to the high volume of mergers and acquisitions in the adviser space. A good example of commentary...

RIA alliances help independent advisers prosper

August 31, 2014

The RIA business was a lonely place when Brent Brodeski joined Savant Capital Management in 1992. He and founder Thomas Muldowney had no forum for talking with other registered investment advisers about how best to manage customer relationships...

Is this your resume? Call Ric Edelman.

August 28, 2014

Despite having dozens of advisers spread across the country, the personality of one man looms large over the $11.6 billion independent advisory firm Edelman Financial Services. But Ric Edelman is looking for a right-hand manager. In a recent...

5 lessons learned after one year running a financial planning firm

August 28, 2014

It's hard to believe it, but my financial planning firm, Workable Wealth, officially turns 1 this week! Just 12 months ago, the website went live after months of prep work and paperwork, and the (virtual) doors opened as I welcomed my first...

When tribal knowledge is a threat

August 17, 2014

"Knowledge is good” was the motto of fictional Faber College in the iconic 1978 film “Animal House.” Not even Delta Tau Chi troublemaker John Blutarsky could argue with the simple truth of the Faber motto, although he didn't acquire much...

Maintaining success in an increasingly competitive industry

August 13, 2014

This is an excerpt from the executive summary of the 2014 InvestmentNews Financial Performance Study of Advisory Firms. To preorder the full study (available in September), click here. The independent advisory industry is in a golden age, growing...

Rethinking succession planning by putting clients first

August 13, 2014

When it comes to succession planning, we are seeing positive changes in the advice profession. According to our research, more firms have written succession plans than in years past, and importantly, more firms are focused on how thoughtful...

Brokers' own accounts tip off firms to a move

August 11, 2014

Brokerage firms may be monitoring their brokers' investment accounts for signs that a broker is about to jump ship. Firms have long monitored brokers' personal trading accounts for signs of suspicious trading activity. But certain behaviors...

Possible election to Congress has this adviser thinking of practice transition

August 6, 2014

J. French Hill is thinking through a challenge many financial advisers face — transitioning out of his practice — but is doing so not because of declining health or pending retirement. His change involves a possible career move to Capitol...

This week's top stories for advisers

August 1, 2014

As the week comes to a close, it's time to catch up on the advice industry's biggest developments that grabbed readers' attention. Variable annuities took center stage, but for all the wrong reasons. LPL Financial had to fork over a hefty settlement...

AIG's Beard: 5 tips for retaining NextGen advisers

July 31, 2014

Having a formal training program and solid career track can help young financial advisers advance through the industry, according to Kevin Beard, executive vice president of strategy and acquisitions, AIG Advisor Group.

Fidelity's Dunne: How to promote the advice profession to Gen Y

July 31, 2014

Young professionals often don't understand the financial advice business and how it matches their lifestyles, according to Jylanne Dunne, SVP of practice management and consulting at Fidelity. Here are two things advisers can do to change that.

Baird's Thekan: Why firms need to bridge the generational gap among advisers

July 31, 2014

By pairing new advisers with experienced advisers, firms can accelerate the transition to the next generation, says Kimberly Thekan, director of talent acquisition and integration at Robert W. Baird & Co. Inc.

Raymond James' Jinks: How to expand the pool of NextGen adviser prospects

July 31, 2014

Many firms forget to cast a sufficiently broad net when seeking young advisers. Here's how Patrick Jinks, director of succession planning and acquisitions at Raymond James, suggests firms reach beyond college campuses.

Cambridge's Vivacqua: Using NextGen talent to fill various roles

July 31, 2014

Looking for just one type of person is the biggest mistake many firms make when recruiting NextGen talent, according to Jeffrey Vivacqua, senior vice president of business strategy at Cambridge.

Succession planning doesn't mean selling

July 30, 2014

Financial advisers who are banking on the sale of their business to fund their retirement could be in for a rude awakening. More than 40% of advisers predict the sale of their businesses will account for 26% to 50% of their retirement assets,...

Steps for constructing a sound continuity plan

July 29, 2014

Let's face it, drafting a contingency plan that allows your practice to go on without you isn't fun — or easy. If it were, more than 20% of financial advisers might actually have an executable continuity plan in place. Here's a quick primer...

Helping advisers help themselves in succession planning

July 29, 2014

My colleagues and I at the Financial Services Institute are privileged every day to see the impact our members have on the regulatory and legislative process when they come together to work toward a common goal. This ability to make a difference...

When Time Runs Out

July 28, 2014

Like the vast majority of people, Dan Candura always thought he had more time.

An investment strategy that works

July 28, 2014

If you're trying to figure out how to get into the market, this strategy has worked. Buying on dips pays as stocks rebound That doesn't mean it's all wine and roses. Three things that worry veteran trader Art Cashin Do you have a continuity...

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