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Advisers using cash-flow management software — even for wealthy clients

March 12, 2014

Advisers who have scoffed at the notion of using monthly cash-flow management for their clients may want to reconsider, now that improved software can help them track progress toward financial goals. Sheryl Garrett, founder of the Garrett Planning...

Internal or external succession: What's right for you?

March 12, 2014

With so many advisers contemplating retirement, the chatter about succession options has become constant. Forget valuations, terms of the deal and buy/sell agreements. Far before you get to that point, you need to anticipate what the future...

Wall Street bonuses rose 15% last year

March 12, 2014

Wall Street’s bonus pool rose 15 percent to $26.7 billion in 2013 even as profits from broker-dealer operations on the New York Stock Exchange fell by 30 percent, according to estimates by New York state Comptroller Thomas DiNapoli. Employees...

With Finra's bonus disclosure moving ahead, practice how to break the news to clients

March 12, 2014

Advisers need to practice the pitch they'll use to persuade clients to switch to a different firm with them, because those conversations could get much more difficult. If the Financial Industry Regulatory Authority Inc. bonus disclosure rule...

Wirehouses, RIAs benefit from bonus disclosure at expense of smaller B-Ds

March 11, 2014

A proposal advanced Monday by Wall Street's industry-funded regulator that would require greater compensation disclosure has exposed a chasm in the advisory industry, pitting smaller broker-dealers against large wirehouses and independent advisers....

Prepare to be ripped off

March 11, 2014

For nearly 75 years, registered investment advisers have been subject to a fiduciary standard of care as specified in the Investment Advisers Act of 1940. The fiduciary standard means just what you'd expect it to mean: an RIA has to put its...

Finra bonus disclosure rule goes to the SEC

March 10, 2014

Finra has moved one step closer to finalizing a rule that would require brokers to tell clients how much they were paid to switch firms. Wall Street's industry-funded regulator filed a final draft of the proposal late Monday with the Securities...

Advisers can add 3 percentage points to clients' net returns

March 10, 2014

Advisers looking to quantify their worth in terms of the added return they can provide clients are being offered a concrete answer of 3 percentage points in a new report from The Vanguard Group Inc. The first of five factors influencing this...

Don't be that guy on Facebook

March 9, 2014

Over the past several years, financial advisers and their firms have worked hard to harness the power of social media to build their businesses. Although some advisers are starting to master the use of this tool, most are still committing some...

Combining firms reduces costs and spurs collaboration

March 9, 2014

Sandy Johnson's best business decision was to participate in an Ameriprise Financial Inc. experiment 20 years ago that brought individual advisers together to operate as a group practice. Today, her Proviant Group boasts operational efficiencies...

5 big tech trends coming your way

March 9, 2014

Forget cloud computing and mobile applications — they're so 2010. So what are the next “wow factor” tech trends, ideas and products that will rock the world of financial advisers and their clients in the not-so-distant future? Chances...

An adviser's toughest job: Telling a client the truth

March 6, 2014

Yahoo recently posted an article about the oldest living person in the world, a smiling 116-year old great-great-grandmother living in a retirement home for the last 18 years. Her surviving children are 92 and 94. It made me think about the...

Closed doors at Finra hide the whole industry's shame

March 6, 2014

Finra's second diversity conference in New York on Tuesday featured a number of key industry speakers who touted the importance of recruiting, retaining and promoting more women and minorities in the industry. “Diversity is strength — even...

SEC exam director warns advisers about use of alternative mutual funds

March 6, 2014

The head of the Securities and Exchange Commission's examination program warned investment advisers on Thursday to be careful when putting their clients in alternative mutual funds. The SEC has noticed increased use of nontraditional investments...

15 best paying cities for financial advisers - The country's 15 best paying big cities

March 5, 2014

Using the newly renovated National Adviser Compensation Database benchmarking tool, which has been updated to include the US Bureau of Labor Statistics' geographic market multiplier*, we’ve ranked 15 of the country’s biggest cities by median...

Oregon advisers blaze their own trail

March 4, 2014

A group of Portland, Ore.-based Bank of America Merrill Lynch veterans that advises on more than $700 million in client assets has broken away to form its own registered investment advisory firm, according to a statement issued Tuesday by the...

How to pick apart charitable trusts

March 3, 2014

For those whose estate planning involves tax management and who also are charitably inclined, charitable trusts are top of mind. But be aware: Not all charitable trusts are created equal. Put simply, a charitable trust allows an individual to...

Robo report: Traditional advisers may be biggest market for online investment services

March 3, 2014

Younger investors could spend billions of dollars for financial advice online, according to a new report, but the biggest consumers of these services may be traditional firms looking to expand. A recent report by the consulting firm Aite Group...

You have found your first CPA partner … Now what?

March 3, 2014

Now that you've made the decision to form a revenue-sharing relationship with an accountant, attorney, a P&C firm, or a bank/credit union professional partner, you are undoubtedly thinking about the first steps you should take in establishing...

IN begins search for 40 under 40

March 2, 2014

I am pleased to announce the latest addition to the InvestmentNews franchise: our own 40 Under 40. Starting Monday, InvestmentNews is beginning its search for the best and brightest among the advice industry's up-and-comers. Once we have picked...

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