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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...

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...

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,...

Financial advisers shouldn't have to stress over health insurance

July 22, 2019

Many of the headlines concerning America's health insurance woes focus on the fraught status of the Affordable Care Act and the ongoing battle among lawmakers about what to do with it. To be sure, whatever your opinion of the current law, it's...

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...

Dearth of young advisers who can meet participant needs

July 20, 2019

The cliché that problems are just opportunities in disguise is rarely true. But sometimes they can be. And sometimes they can solve really big problems. For example, there are tens of millions of defined contribution participants in need of...

New CEO of InvestmentNews announced

July 18, 2019

Christine Shaw has been named chief executive of InvestmentNews, the leading source of news, analysis and information for the financial advisory community. She succeeds Suzanne Siracuse, who announced her resignation earlier this week. Ms. Shaw...

The wealth management circle of life

July 18, 2019

It's no secret that there's $30 trillion that's expected to be passed down from baby boomer parents to their Generation X and millennial children over the next 30 years. This vast movement of wealth is reminiscent of the point in "The Lion King"...

How do advisers estimate a client's longevity?

July 18, 2019

Estimating how long a client will live is an inherently challenging, yet critical task for financial advisers. Lifespan is at the heart of every financial plan, and a misstep could mean the difference between clients' financial security and...

What to copy from Personal Capital's client experience

July 17, 2019

The rise of robo-advisers like Betterment and Wealthfront lit a fire under traditional advice firms to start modernizing their technologies to improve the client experience. Personal Capital may not be the largest of such firms but it's the...

Bull market malaria and other advisory firm ailments

July 17, 2019

The stock market's historic bull run is masking the impact of industry disruptions. Take a moment to check whether your organization is vulnerable to any of the following conditions. Bull market malaria. Markets seldom fall for no reason, and...

Carson Group names leaders for adviser and consumer operations

July 17, 2019

The Carson Group has elevated two executives to serve as co-presidents, with one heading the firm's adviser-oriented efforts and the other its consumer-oriented business. (More:​ InvestmentNews 40 Under 40 2019: Aaron Schaben) Aaron Schaben,...

Making the future of financial advice as effortless as Uber will be no easy ride

July 16, 2019

What does the future of financial advice look like? For many industry leaders, it's making financial planning and investment management as easy as shopping on Amazon, ordering a ride on Uber or streaming a movie on Netflix. But getting there...

InvestmentNews CEO and publisher Suzanne Siracuse resigns

July 16, 2019

Suzanne Siracuse, the CEO and publisher of InvestmentNews, announced her resignation, effective Aug. 16. Ms. Siracuse helped launch InvestmentNews, the leading source of news, analysis and information to the financial advisory community, in...

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