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Best Places to Work for Financial Advisers: The research and the data

April 1, 2019

As InvestmentNews celebrates its second class of Best Places to Work for Financial Advisers, we'd like to use the opportunity to shed some light on the practices that play the biggest role in setting the Best Places apart from the competition...

Is your office space keeping up with the times?

March 29, 2019

When you think of the traditional office space, perhaps a formal conference room and individual cubicles for staff come to mind. But just as in other areas of our industry, times are a changin' when it comes to space planning. As millennial...

Schwab moving to subscription fees could be watershed moment for advice industry

March 29, 2019

Charles Schwab's announcement Thursday that it was moving from an assets-under-management fee to a flat monthly charge for its robo adviser sent shock waves throughout the industry. For Gavin Spitzner, president of industry consultant Wealth...

When living on a half-million dollars a year seems hard

March 29, 2019

Every so often you come across an article about someone who makes a lot of money, but who claims to be just scraping by. Among the more famous of these was a Wall Street Journal infographic from 2013 depicting the travails of single mothers...

JPMorgan reportedly cutting hundreds of jobs in asset, wealth unit

March 28, 2019

JPMorgan Chase & Co. is dismissing hundreds of workers in its asset and wealth management division after a periodic review of staffing, according to a person briefed on the matter. The bank is reducing the number of employees in support roles...

Wells Fargo CEO Tim Sloan steps down

March 28, 2019

Wells Fargo & Co. Chief Executive Officer Tim Sloan has stepped down effective immediately amid mounting pressure over the lender's scandals, and will be replaced on an interim basis by the bank's general counsel, C. Allen Parker. The bank is...

A tech transition gone wrong

March 28, 2019

Last year, my team and I decided it was time to switch technology vendors. While this can be a stressful transition, we thought we had a solid plan in place. We started with a robust research process, evaluated a number of potential partners,...

The future of advice is hiding in plain sight

March 28, 2019

On March 5, InvestmentNews convened a group of advice industry leaders to talk about the future of advice. I listened, hoping to hear that undiscovered nugget, the silver bullet of success we should fire to capture the rich opportunities discussed...

How to handle a client with low risk tolerance

March 27, 2019

Risk tolerance questionnaires, scores and levels are a big focus right now in retirement income planning. While many of the tools are still rudimentary (e.g., your desire to skydive probably isn't tied to your investment risk tolerance), we...

Advisers can increase business while boosting financial literacy

March 27, 2019

Financial advisers are uniquely positioned to deliver personal financial education in the U.S., and the business advantages they glean from doing so will benefit firms for years to come, experts in financial literacy said. The U.S. has the world's...

Social media has changed, but here's one thing that never will

March 27, 2019

It was 12 years ago when I started using social media. First Facebook. Then Twitter. Then LinkedIn. Then Instagram. And in between a million other platforms that no longer exist. Just a year after that, I started using social media in a supervisory...

3 lessons advisers can learn from the Midwest flooding

March 27, 2019

March has been a month of madness, but not because of my bracket. This madness came in the form of a historic natural disaster, perhaps the worst of its kind ever to hit the state of Nebraska. And while Nebraska may be seen as a "flyover state,"...

Has the quarterly client newsletter become old news?

March 22, 2019

When it comes to producing client newsletters, financial advisers either love them or hate them. And if they hate them, they usually abandon the idea altogether. "Most newsletters are a joke," said Josh Brown, financial adviser and CEO of Ritholtz...

Warren, Brown ask regulators to oust Wells Fargo CEO Sloan

March 22, 2019

Sen. Elizabeth Warren is again taking aim at Wells Fargo & Co. CEO Tim Sloan, this time asking federal regulators to invoke their power to make management changes. The Democratic senator and presidential candidate joined Ohio Democrat Sherrod...

Succession plan success story

March 19, 2019

The story of Benjamin Tobias' succession plan is proof that having a good plan in place can help a firm endure and evolve through even the worst of circumstances. Mr. Tobias, 67, had been grooming two advisers to take over his Plantation, Fla.-based...

5 building blocks to becoming a successful buyer

March 19, 2019

There are more than 12,000 SEC-registered investment advisers in the United States trying to differentiate and grow their businesses across the competitive and fragmented RIA space — a veritable Wild West of firms at the forefront of change....

Starting a new advisory firm: Selecting technology

March 19, 2019

In my two previous columns, I've delved into both the marketing and outsourcing aspects of starting a career as an adviser. In today's third and final installment, I'm going to discuss the technology I would use were I to move to a new city...

Growth is a must, but watch out for the trap

March 19, 2019

After spending many years cheering my three daughters while they play club volleyball, I decided it would be nice to learn to play properly myself. After all, there are a couple of courts right by the ocean, and it would be fun to play with...

Financial literacy could make advice more accessible to women of color

March 18, 2019

Financial illiteracy in the U.S. hits women and women of color especially hard, according to several participants in an InvestmentNews workshop on the role financial literacy can play in making the advice industry more diverse and inclusive....

Independent advisory firms plan to increase digital marketing budgets this year

March 15, 2019

Over the past 10 years, independent advisory firms have slowly integrated new technology solutions into their business models. Most firms now have their core tech stack in place: 85% are using a CRM system to manage customer relationships; 83%...

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