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Verbal agreement became a succession plan

August 23, 2019

Sometimes a verbal agreement is all you need to get a succession plan rolling. That was the case in August 2008, when John Middleton walked away from a job as an institutional portfolio manager at Invesco to become a financial adviser at a $41...

Learn to love delegating

August 21, 2019

As a planner and adviser for almost three decades, I've become good at delegating. But I sure didn't begin that way. Like many of you, I started with a desk, a phone, and a manager who gave me a lot of encouragement, but no leads or clients....

Why advisers should eliminate the B word

August 21, 2019

In our professional and private lives, our days seemed to be filled with the question, "How are you?" Colleagues, family, friends — we're all asking each other this auto-pilot inquiry. And many of us respond with a robotic, "Oh, I'm good …...

As Wells Fargo seeks CEO, toll on stock hits $24 billion

August 20, 2019

At Wells Fargo's town hall meetings, executives have fielded countless questions from employees about efforts to resolve scandals that erupted almost three years ago. One looming topic hasn't come up recently: Who will run the bank? While the...

Investing tips from the wealthiest family on earth

August 16, 2019

Sam Walton would probably be bewildered by the businesses his grandchildren have chosen to pursue, but the late founder of the world's largest family fortune would likely have applauded their initiative. [More: Estate tax pretty much 'optional,'...

Volatility reignites debate about market timing

August 15, 2019

Increased stock market volatility, including the market's 3% drop on Wednesday, has put financial advisers back into a position of defending buy-and-hold investing strategies to nervous clients. "A big part of our job is convincing people they're...

New SEC videos aim to help investors identify brokers vs. investment advisers

August 15, 2019

Investors trying to decide whether to hire a broker or an investment adviser can now turn to the Securities and Exchange Commission's website, where the agency posted videos on Thursday designed to highlight the differences between them. The...

What RIAs should learn from Uber and Lyft

August 15, 2019

A recent New York Times article called Uber and Lyft two of "the largest and most anticipated … companies to have gone public this year," but in the same breath declared that "they were also the biggest flops," as "both were racking up huge...

Take a break! 5 simple summer pleasures

August 14, 2019

Ahh, summer! A time to enjoy a change of pace. Schedules open up as clients leave town for some R&R. You and your staff likely take time off, too. But in addition to vacations, we all need to take breaks throughout the day. In fact, the research...

What advisers can learn from the industry's early AI leaders

August 13, 2019

Financial services firms will have to fundamentally reconsider how humans and machines interact, both within their firms and with customers, if they want to take advantage of artificial intelligence technology, according to a new report from...

The SECURE Act could mean big changes for advisers

August 13, 2019

While it's not surprising that the Setting Every Community Up for Retirement Enhancement (SECURE) Act is tangled in a political decision-making web, it's reassuring that the conversation about helping Americans save for retirement is still on...

Revenue multiples don't tell the story of your firm's value

August 13, 2019

Most small business owners have no idea what their businesses are worth. Many turn to financial planners to determine the value of their most crucial asset. But if you ask a registered investment adviser about the value of his or her practice,...

How to help clients avoid information overload

August 13, 2019

We live in a world of data overload. We are constantly being bombarded with information and messaging about how to think, act and even dream. The average American is on their smartphone for 5.4 hours per day. That is not even including the time...

Helping clients manage volatility for the long run

August 12, 2019

Since last September, we've seen the S&P 500 Index reach an all-time high, weather a 20% drop, gain it all back and keep on climbing. Financial professionals are accustomed to these ups and downs, but to an investor saving for retirement, a...

Dually registered advisers found to have conflicts and higher fees

August 8, 2019

Investment advisers who also are registered as brokers are rife with conflicts of interest and charge their clients more than independent RIAs, according to a new academic study. In a paper released on Wednesday, Nicole Boyson, professor of...

Time to shift your hiring goal from 'culture-fit' to 'culture-add'

August 3, 2019

As a firm owner or decision-maker, you have the power to make an impact on this profession. Unfortunately, it's not always easy to know where you can "plug in" to the diversity, equity and inclusion (DEI) movement. One key contribution we can...

New DOL advice rule must factor in reality of aging investors

August 3, 2019

The responsibility ahead for Eugene Scalia, President Donald J. Trump's nominee for labor secretary, should he be confirmed, is enormous. No less than the well-being of Americans in retirement rests on the decisions his agency has before it....

Is your firm using the technology you need to succeed?

August 2, 2019

Think about the technology your firm currently uses. Does it satisfy your client reporting needs? Is client reporting an easy task, or is it frustrating, taking up more time and resources than it is worth? Within the last decade, Technology...

What recent Google and Salesforce acquisitions mean for the future of advice

August 2, 2019

This has been an active summer for technology giants acquiring data analytics startups. In June, Google purchased Looker for $2.6 billion and Salesforce bought Tableau for $15.3 billion. They are among the largest deals either tech giant has...

Understanding your digital strategy is the first step to dominating online

August 1, 2019

Financial portfolios are unique, and so are digital strategies for lead generation. Advisers have different options for marketing themselves online, and those options can be tailored to meet your unique goals. The first concept that every adviser...

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