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UBS escalates its pursuit of rich Americans with staff promotions

March 6, 2019

UBS Group promoted 96 employees to the level of managing director in the Americas as it seeks to gain more rich clients and expand in the region. The Swiss bank elevated 60 financial advisers and 36 Americas staff, according to Tom Naratil,...

Your Next-Gen Advisor's Road to Success Starts Long Before Day One

March 6, 2019

If you are among those looking to bring on extra help in the form of an associate advisor, you're probably eager to fill that position and get your new hire up and running as quickly as possible. But rushing headlong into the hiring process...

I started a firm in 1993. Here's how I'd build one in 2019

March 5, 2019

A few weeks ago, I was talking to a group of advisers about how to grow their practices. One of them said, "Scott, it's different for you because you have such a large staff." Granted, maybe some business strategies are a little easier for me...

Taxes, investment returns and the new Form 1040

March 5, 2019

Given that 2018 is the first tax year to reflect the Tax Cut and Jobs Act, there are a few changes advisers should understand to aid in client discussions. Even more important, understanding these changes will allow you to identify problem areas...

Robert J. Moore bids farewell to the advice industry as he steps down as Cetera CEO

March 5, 2019

Editor's note: The following letter was written by Robert J. Moore, who is stepping down for health reasons as Cetera Financial Group's CEO later this month. Dear Valued Members of the Wealth Management Profession, At the outset, let me express...

Cetera Financial Group to offer fee-for-service business model

March 4, 2019

Cetera Financial Group is embracing the fee-for-service business model. The network of six independent broker-dealers is adding AdvicePay, a payment processing tool launched by XY Planning Network founders Alan Moore and Michael Kitces, to its...

Infusing your company with a disruptive mentality

March 4, 2019

In a previous article, I discussed the pivotal role that continuing disruption plays in sustained company success. Now I'll delve deeper into how you can infuse your company with a disruptive mentality. Change is the only constant in business,...

Making room for the next generation of advisers

March 4, 2019

Recently, I read an article in the November issue of the Harvard Business Review (What Happens to Younger Workers When Older Workers Don't Retire) that got me thinking. It focused on the world of symphony orchestras, where many principal oboists...

Instagram: A guide for financial advisers

March 1, 2019

I opened my last column with these words: A solid plan and strategy is the key to every social media success. Let's use those words again for this month's column about Instagram for financial advisers. You may know Instagram as that photo-sharing...

Leading to last: Growing an advisory firm so it will continue on

February 28, 2019

Over the past decade, succession planning has become an increasingly potent issue for many RIA firms — including ours. According to Fidelity's benchmarking study, 60% of RIAs either have no succession plan or have one that isn't ready for...

Cambridge Associates reaches diversity milestone: half of leadership team are women

February 27, 2019

The promotion of a female executive this week at Cambridge Associates moves the $33 billion Boston-based asset management firm into the rarified ranks of companies with at least half their leadership team represented by women. Cambridge, a 45-year-old...

Reset your thinking for 2019

February 26, 2019

2018 challenged many clients with a rockier road than 2017—and disappointing returns to boot. One recent study showed 90% of major asset classes posted declines through mid-November, with cash outperforming stocks and bonds. That preceded...

Outsourcing is route to greater growth, Fidelity study finds

February 26, 2019

Outsourcing key functions — including investment management, information technology and legal and compliance — is the route to greater growth, say advisory firms who outsource, according to a new study by Fidelity. Nearly half (43%) of the...

Morningstar study says advisory clients are stuck on investment performance

February 26, 2019

Most investors still measure their financial adviser based on the performance of their portfolio, and most financial advisers know that, even if they think it's a mistake. A new study by Morningstar shows financial advisers have their work cut...

Opportunity-zone investments — are they right for your clients?

February 25, 2019

The Tax Cuts and Jobs Act passed by Congress in December 2017 included many changes to the tax code. One was the creation of "opportunity zones": state-designated and U.S. Treasury-approved areas where "new investments, under certain conditions,...

Wells Fargo CEO Tim Sloan could be hard to oust — here's why

February 22, 2019

Wells Fargo & Co.'s top critic makes it sound so easy. Sen. Elizabeth Warren has made her view clear — again and again — that the bank can't resolve its scandals until it names an untainted replacement for Chief Executive Officer Tim Sloan....

How to choose good tech, rather than costly and complex tech

February 21, 2019

Your success as an independent adviser depends on a unique blend of financial expertise, relationship management and business acumen. Good technology can enhance each of those skills, but as we all know, the best offerings can be expensive....

Delivering value starts with reducing fees

February 20, 2019

What makes someone choose a $300 pair of jeans over a $30 pair? Or a $100,000 Porsche over a $15,000 Fiat? Both options are functional and get the job done, right? Yet one is worth six to 10 times the other. Why? While some of those reasons...

Look for more changes at Cetera Financial Group

February 20, 2019

Robert Moore's resignation from Cetera Financial Group likely signals other changes to come at the giant broker-dealer network, according to advisers and industry observers. Those could range from the firm's owner, Genstar Capital, winnowing...

Making a resolution (and a plan) that is built to last

February 19, 2019

We've reached the time of year where research tells us most people have abandoned their New Year's resolutions. According to U.S. News & World Report, 80% of New Year's resolutions fail by February. Those promises of eating less or working out...

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