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Wirehouse breakaway market seen thawing

February 5, 2014

Until last month, Timothy B. Kneen and Clayton E. Hartman were locked in what some might consider a textbook example of “golden handcuffs.” The longtime brokers still owed their employer, UBS Wealth Management Americas Inc., forgivable loans...

Advisers differ on whether in-house investment management is a plus

February 5, 2014

To pick stocks or hire others to pick — that was the question that recently divided two successful financial advisers who were sharing business secrets with the profession. The ongoing debate among advisory firms about whether the asset management...

Advisers need younger clients, but aren't reaching out: Survey

February 4, 2014

Despite recognizing that wooing younger clients is vital to the longevity of their businesses, most advisers aren't making any effort to do so. Six in 10 advisory firms don't have any strategy in place to court younger clients, according to...

Tool to evaluate rate of return vs. benchmark to be unveiled

February 4, 2014

A new software tool that helps advisers learn quickly whether a fund's rate of return meets a client's performance expectations relative to a benchmark will be launched next week at the T3 Technology Tools for Today adviser conference in Anaheim,...

Industry group launches latest TV commercial to build CFP brand

February 3, 2014

It came one day after the Super Bowl advertising blitz, but the CFP Board hopes that a “reality” TV spot it launched Monday will help convince consumers to turn to a certified financial planner for advice. The Certified Financial Planner...

One-third of advisers plan to exit business within a decade

February 3, 2014

More than one-third of U.S. financial advisers are planning to leave the business over the next 10 years, according to Cerulli Associates Inc. Cerulli highlights that statistic in the first-quarter issue of The Cerulli Edge, Advisor Edition,...

Wealth manager thrives on 'do it yourself' culture

February 2, 2014

There is no shortage of software products that developers market as the “solution” to financial advisers' every conceivable need. But adviser Kenneth R. Smith said firms often have to accommodate themselves to those products' limitations....

A new financial planning frontier for same-sex marriage

February 2, 2014

Choosing color schemes and centerpieces aren't the only things on Susan Owens' to-do list as she prepares to get married May 23. She and her partner, Laura Medvitz, are revamping their finances in a world where their marriage will now receive...

Helping clients in times of grief

January 31, 2014

When a client loses someone — especially a spouse — they are left with many complex burdens. Not only do they have to cope with their own grief, but there are financial and social responsibilities that need to be addressed. While helping...

Live! From TD Ameritrade Institutional: How to get and keep female clients: R-E-S-P-E-C-T

January 30, 2014

(Corrected Feb. 10, 2014) Financial advisers who want to attract female clients must carefully craft a message designed for that particular woman's knowledge and interest level. "Women are not a niche market and you need to be deliberate about...

Live! From TD Ameritrade Institutional: Keep emergency plans updated, or face disastrous consequences from regulators

January 30, 2014

Financial advisory firms need to think seriously about disaster planning and should be conducting annual tests of their preparedness plans if they want to stay out of hot water with regulators. Each year, registered investment advisers need...

Tech that boosts business value

January 29, 2014

Financial advisers become successful by focusing on building their practices — not by planning how they'll leave them. In fact, less than one-third of today's RIA practice owners have a succession plan in place. As registered investment advisers...

CFA exam pass rate increases to 43%

January 28, 2014

A higher percentage of hopefuls for the chartered financial analyst designation passed the first level of their three-part exam in December. Forty-three percent of applicants passed the first test, the CFA Institute said in a statement on its...

Convincing women to build a stake in their financial future

January 28, 2014

An Ohio adviser is using a formal incentive program to encourage her female clients to boost their financial education. Paula Chesser, an adviser with Robert W. Baird & Co. Inc. in Akron, Ohio, created a Savvy Women's Club that hosts eight workshops...

Joe Duran: Are you 'living the why?'

January 28, 2014

I was quite surprised by the news of the departure of Mohamed El-Erian from our neighboring investment firm the Pacific Investment Management Co. Since we moved into our offices in the idyllic Newport Beach, Calif., commercial district (appropriately...

Federal judge allows fee-only case against CFP Board to proceed

January 28, 2014

A federal judge ruled on Sunday that a case against the Certified Financial Planner Board of Standards Inc. revolving around compensation definitions can continue and expand in scope. Judge Richard J. Leon of the U.S. District Court in the District...

Pershing adds Signix digital signature technology to NetX360 platform

January 28, 2014

Pershing has added Signix's digital signature technology to its NetX360 platform, the two firms announced Tuesday at the Financial Services Institute Inc.'s OneVoice 2014 Broker-Dealer Conference. Financial advisers on the clearing provider's...

Krawcheck says advisory business still coming up short in reaching out to women

January 27, 2014

Sallie Krawcheck's bottom line is getting the advice industry to reach out to more women, both as advisers and clients. “Women don't say they need a woman adviser, but I don't think it will hurt if we got beyond 17% of the industry being women,”...

Millennials chary of long-term investing

January 27, 2014

The trauma of the financial crisis is still fresh in the minds of the youngest investors and that makes them hold tight to their cash and dubious about long-term investing. Many millennials, which UBS defines as being 21 to 36, are as conservative...

Health savings accounts gain in popularity

January 27, 2014

Tax-advantaged saving on a federal level is bolstering the popularity of health savings accounts, but clients ought to know that those attributes don't always apply from a state income tax perspective. Health savings accounts, the investment...

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