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Setting record straight on CFP Board rules

May 18, 2014

A court challenge to the Certified Financial Planner Board of Standards Inc.'s enforcement of its standards of professional conduct has caused some to question its enforcement process and whether the CFP Board should adopt a less rigorous “fee...

What clients want: Transparency

May 18, 2014

Financial professionals serving individuals must find better ways to let clients and prospective clients know why they charge what they do and why they are worth it. Participants in a client panel at InvestmentNews' annual Retirement Income...

6 ways to get more client referrals - 6 ways to win over clients

May 16, 2014

Writer Bob Veres, who spoke at the National Association of Personal Financial Advisors conference in Salt Lake City on Wednesday, analyzed feedback from over 200 advisers to learn some client service best practices. Advisers who provide the...

'Match.com' for advisers and clients expands to San Francisco

May 16, 2014

GuideVine, a technology startup that wants to connect advisers with consumers seeking financial advice, started operations on Thursday in San Francisco after a successful New York launch in March. A prominent feature of GuideVine is video introductions...

9 steps to adding $20.5 million in AUM

May 16, 2014

For financial advisers, growth planning can come in several different flavors and, as long as you set specific goals, all of these strategies can be successful. Many financial advisers select a top-down growth target, e.g., $100,000 in new production...

4 reasons not to launch your own hybrid RIA

May 15, 2014

Those of us who have been in the independent financial advisory space for some time should feel vindicated when we look at our industry today. Liberated from having to push proprietary products or make top-down sales quotas, independent advisers...

Want loyalty? Help clients with caregiving

May 15, 2014

Financial advisers who can help clients with the overwhelming job of caregiving will create tremendous loyalty, a client and "semi-professional patient" told advisers at the NAPFA conference in Salt Lake City on Thursday. Alan Blaustein learned...

Addressing client dementia

May 14, 2014

Advisers have little training on working with older clients, but they need to be vigilant about certain realities that should not be ignored, including signs of dementia. “My grandmother had Alzheimer's, and she was one of my first clients,”...

Behavioral finance gaining traction on the conference circuit

May 14, 2014

Financial professionals are trying to push behavioral finance beyond a set of theories about why investors make the wrong financial decisions toward helping clients overcome their money-losing tendencies. One example of a recent spotlight on...

Social media is worth the time

May 14, 2014

Tired of relying solely on clients for referrals, but not sure how else to build your business? Internet-savvy advisers are increasingly kick-starting growth using social media. Three social media mavens convened Wednesday for an InvestmentNews...

Donald Runkle, ex-chief compliance officer for Raymond James Financial Services, joining law firm

May 13, 2014

The former longtime chief compliance officer for Raymond James Financial Services Inc., Donald Runkle, is joining the law firm of Edgerton & Weaver as director of consulting services. With offices in California, New York and Florida, Edgerton...

Institute for the Fiduciary Standard launches best practices effort, eyes new certificate

May 13, 2014

While federal regulators debate rules that would raise investment-advice standards, one organization dedicated to promoting a fiduciary standard is taking matters into its own hands. The Institute for the Fiduciary Standard, a think tank whose...

'Just say no' applies to clients, too

May 13, 2014

The most important thing advisers can do to help the financial performance of their clients’ portfolios is to help them resist their own investment instincts and fears, financial writer Nick Murray said. Advisers' best value proposition is...

Predictive technology taps into big data to help advisers connect with potential clients

May 13, 2014

About 18 months ago, Jeff Rose, an adviser who considers himself an early adopter of technology, started using sales and marketing software that uses predictive analysis and big data to generate leads for his small advisory business, Alliance...

Wells Fargo gets aggressive to help advisers protect assets of elderly clients

May 12, 2014

As they lead clients into retirement, advisers are one of the first lines of defense in protecting clients who may show signs of cognitive decline or be susceptible to scam artists. To help combat those threats, Wells Fargo has tapped its former...

Raymond James adds Morgan Stanley adviser with $360 million in AUM

May 12, 2014

Raymond James has picked up a former Morgan Stanley adviser with $360 million in assets, as the firm looks to expand on the West Coast. Adviser Stephen Besse joined Raymond James & Associates Inc.'s Walnut Creek office on May 2, having previously...

Don't let Gen Xers push you around

May 11, 2014

If a little information is a dangerous thing, many of your clients are rogue terrorists holding nuclear bombs. They have a little information and that's all they need to have big opinions about investing. It doesn't matter that their opinion...

When love won't keep them together

May 11, 2014

If late-in-live divorce can happen to Captain & Tennille, surely it can — and will — happen to some of your baby boomer clients. An analysis of data from U.S. Vital Statistics and from the American Community Survey reveals that back in 1990,...

Developing a workable succession plan: What do advisers really want?

May 11, 2014

The enormous focus in recent years on empowering succession planning on the part of broker-dealers and custodians is truly laudable and reflects the inescapable changes that the aging of the overall financial adviser population will bring to...

U.S. Trust hires managing director from JPMorgan in expansion bid

May 9, 2014

The rivalry among boutique firms competing for the business of ultrawealthy clients continues to heat up with U.S. Trust's recent hire of a managing director from JPMorgan Chase & Co.'s private bank. The firm has added Sam Gottesman to fill...

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