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Why a lack of diversity among financial planners persists

August 4, 2018

A recent Pew Research Center study found that the majority of Americans say growing racial and ethnic diversity makes the U.S. a better place to live. While the country is experiencing an increase in diversity, the financial planning profession...

Host the Perfect Client Event

August 1, 2018

Client events can be a lot of work, and there are many factors that come into play that could determine their success. But they are also a very important part of building your business because they can help you strengthen your relationships...

Digital plus human equals the future of advice

August 1, 2018

Speculation about the future of advice will never end, and with good reason: The future is unpredictable. But when the future conversation about the future focuses solely on technology and the disruptions that will emerge as a result, we lose...

Climbing the digital mountain

August 1, 2018

Digital: A search for the term on the InvestmentNews website produces 1,645 hits. Good news for advisers looking to top off this summer's beach reading list, though you might have to upgrade your iPad. Alternatively, you could dodge the frenzy...

Millennial heirs go to summer camp

July 30, 2018

Fifty-two heirs to lavish fortunes luxuriate in sleek splendor at the Four Seasons. They sip designer lattes and speak the language of wealth. The talk is of money, noblesse oblige, technology, Formula One. At lunchtime, out comes chilled rosé,...

Adviser compensation involves a conflict that can be managed — but not avoided

July 30, 2018

Over the past year, the Certified Financial Planner Board of Standards imposed discipline on several individuals regarding the way they disclosed compensation to clients and prospective clients. Specifically, the cases involved uses of the term...

Is it better to meet with clients in person or online?

July 27, 2018

Is it better to meet with a client in person, or virtually? It depends on who you ask. According to research from FactSet, a data analytics provider, high-net-worth individuals now conduct 44% of their interactions with an adviser online. The...

UBS laying off dozens of wealth management staff

July 26, 2018

UBS Group is laying off dozens of staff at its wealth management division as it revamps the unit's leadership team, according to people briefed on the matter. Stephen Freedman, who was appointed last year as head of sustainable investing solutions...

How to get to Inbox Zero

July 26, 2018

Between that last email subscription you don't remember signing up for and the frequent office blasts, email can feel unwieldy, to say the least. And achieving Inbox Zero — the austere approach that dictates getting your inbox to the zen state...

Why advisers are turning to Facebook ads to fill seminar seats

July 24, 2018

Financial planning seminars share much in common with the poet Henry Wadsworth Longfellow's curly headed little girl. To paraphrase, when they're done well, they're very, very good — and when they're bad, they're horrid. That's right; most...

Back office should be top of mind for growing advisory firms

July 24, 2018

Recently, a colleague of mine suggested that "back office" should be considered a bad word, because it's where things go wrong without accountability. I respectfully disagree. The back office plays a major role in delivering a client service...

Goldman fires salesman charged twice with attacking women

July 24, 2018

Goldman Sachs Group Inc. fired a salesman last month after he was arrested twice in just over a year and charged both times with attacking a woman. Joe Karwosky, 35, spent eight years with the firm and worked in its asset management division,...

Advisers hold key to financial security

July 18, 2018

Here's a statistic that should make financial advisers stand a little taller: Clients who work with a financial professional are more than twice as likely to feel financially secure and ready for retirement compared to consumers who don't. More...

Getting to scale — the virtual solution

July 17, 2018

The industry may be adding registered investment advisers annually, but it's also consolidating at a record pace for one reason: the power of scale. Highly competitive,, aggressive growth RIAs are reshaping the landscape. Armed with capital,...

$1 billion in assets? For some RIAs, it's not as good as it sounds

July 16, 2018

Be careful what you ask for. New research shows that once advisory firms reach $1 billion in assets, they face new challenges they may not have anticipated. A new study from Cerulli Associates claims that once a firm reaches that milestone,...

Empowering female clients requires they talk about this

July 12, 2018

Financial advisers need to help their female clients reduce individual money shame and to empower them personally and professionally when it comes to finances, a leading wealth psychology expert said. "We live in a society that is plagued by...

SEC censures, fines advisers for Yelp endorsements

July 11, 2018

The Securities and Exchange Commission has charged three advisers for violating the testimonial rule by promoting their business on Yelp. According to separate SEC filings, Jaime Biel, William Greenfield and Brian Eyster hired Leonard Schwartz,...

Recency bias: A big risk to your clients this summer

July 10, 2018

It is perhaps the most oft written sentence in investing: Past performance is never an indication of future results. Lots of people tie this to disclosures on materials and relate it to an individual manager's results. But it is bigger than...

What's new in today's move to independence

July 10, 2018

The following is a new white paper produced by Sigma Financial Corporation & Parkland Securities, LLC and the InvestmentNews Content Strategy Studio, “How to Determine if a Broker-Dealer is Right for You: Six questions advisors must ask about...

Goldman pushes deal-makers to land wealth management clients

July 10, 2018

The best time to get hired to manage a billionaire's money is while your firm is helping to create that fortune. That's the thinking behind Goldman Sachs Group's push to have its deal-makers help the bank's wealth managers land new clients....

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