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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...

Orion bringing HSA data to portfolio management dashboard

July 30, 2019

Orion Advisor Services is adding health savings account data to its portfolio management software to satisfy a growing adviser appetite to offer clients financial advice on these tax-friendly investment accounts. The fintech company is partnering...

Capital One data hack puts financial advisers on high alert

July 30, 2019

The data breach at Capital One Financial involving more than 100 million people in the United States and Canada has given financial advisers a new reason to remind their clients about the need to take identity protection measures seriously....

Two of the most widely-used adviser fintechs you've never heard of

July 29, 2019

Financial advice requires boatloads of paperwork, but two little known fintech firms have been working for 20 years to make it easier. They likely are the most widely used adviser technology firms in the market — even if most advisers don't...

CFP Board omits thousands of regulatory, criminal problems of its certificants on consumer site: WSJ

July 29, 2019

A website maintained by the Certified Financial Planner Board of Standards Inc. to help investors find a CFP fails to list regulatory and criminal misconduct and customer complaints for thousands of its credential holders, according to a Wall...

Advisers view diversity efforts as a complex, heavy lift

July 26, 2019

Discussions about the financial services industry's reputation for being mostly white and mostly male will usually trigger a raft of enthusiastic perspectives, but what most people agree on is that progress is slow and real diversity is still...

Advisory firm founder carries half his clients' fees into retirement

July 25, 2019

When it comes to succession planning, Jim Mohr is banking heavily on the abilities of the next generation of advisers at the San Diego-based advisory firm he founded 35 years ago. Mr. Mohr, 59, is not yet officially retired from Mohr Financial...

Vendors need to be held to a higher standard on privacy

July 25, 2019

Not that long ago, keeping clients' data secure was easy. It merely required a lock and key. Now, with third-party providers, remote access and the use of internet platforms, keeping clients' personally identifiable information private is much...

Young adviser's focus on 'joy, security, confidence' resonates with millennials

July 24, 2019

Sophia Bera wants to make something crystal clear: She is not your father's financial planner. That's Ms. Bera's marketing tagline, and evidence of it is all over the 35-year-old's website. There's the personal brand on display at her company,...

TD Ameritrade CEO Tim Hockey says his exit is unrelated to M&A

July 23, 2019

TD Ameritrade CEO Tim Hockey said his departure from the online brokerage by no later than the end of February has nothing to do with mergers and acquisitions, "pro or con." Mr. Hockey, in a phone interview, brushed off a direct question about...

5 ways to achieve healthy innovation as an adviser

July 23, 2019

Amid all of the trappings of running a business, how do I find time to innovate? What if I'm just not the creative type? These are questions you'll find many business owners asking themselves in this new era of business where terms like agile,...

Self-reliance is essential, but it could be your downfall

July 23, 2019

I started out as a commission-based salesperson at a national financial services firm. It was the best bad thing that ever happened to me. (I'll explain why in a moment.) That firm sold me (and 20 others) on the money I could make and provided...

TD Ameritrade CEO Tim Hockey resigning

July 22, 2019

TD Ameritrade Holding Corp. president and CEO Tim Hockey will leave the company by February 2020. Mr. Hockey will continue his role as TD's board of directors conducts a search for his successor. If a successor is named before the February deadline,...

Morgan Stanley launches 'digital vault' platform for clients

July 22, 2019

In a move to increase cybersecurity, Morgan Stanley has launched a digital collaboration tool that permits encrypted cloud-based document storage and sharing between clients and their adviser. (More:​ Envestnet adds easier document storage...

If you aren't asking tough questions, you aren't doing your job

July 22, 2019

As fiduciaries, it's our job to push clients to think about uncomfortable aspects of their lives. To name a few: discussions around retirement and death, providing feedback on spending, estate planning, gifting to family members — or saying...

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