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Advisers good at retirement planning — except their own

March 12, 2013

Financial advisers continue to put off planning their own retirement even though an overwhelming majority of them are at least 50, a new survey shows. About 68% of advisers have no formal succession plan for their business, according to an SEI...

Near-retirees need a plan for debt

March 10, 2013

Retiring a mortgage can be the biggest boost to cash flow. But like the sequestration that continues to play out in Washington, it might be time for some pre-retirees to engage in their own personalized version of across-the-board spend- ing...

Relocating to the 'land of brand'

March 3, 2013

An out-of-towner drove his car into a ditch in a rural area. Luckily, Farmer Jones came to help with his horse, Hobo. Farmer Jones hitched Hobo up to the car and yelled, “Pull, Nellie, pull!” Hobo didn't move a muscle. Then Farmer Jones...

Live! OneVoice2013: FSI cautions Finra about bonus disclosure proposal

January 29, 2013

The main trade group representing independent-contractor broker-dealers will soon go public with its concerns over a Financial Industry Regulatory Authority Inc. proposal to require brokers to disclose recruiting incentives. While the Financial...

Wealthy grab financial reins

January 13, 2013

Rich people want to know what's being done with their money. A survey of ultrahigh-net worth investors released last Thursday by the Institute for Private Investors found that the very wealthy are taking an active role in managing their own...

The gold medal quality advisers can no longer ignore

February 20, 2018

As the 2018 Winter Olympics continue to generate headlines around the world, I've taken notice of what these athletes must inherently possess just to qualify for the Olympics, let alone win a medal. They're the gold standard for their respective...

Utah legislator targets online broker records

December 21, 2012

A Utah state senator is going to bat for investment brokers who have been the subject of enforcement actions by the state securities regulator and now say their reputations are suffering because the information is available online. Sen. Howard...

BofA's Moynihan vetoed Thiel's plan to cut broker pay: Source

December 20, 2012

Bank of America Corp. Chief Executive Officer Brian T. Moynihan blocked a proposal to cut the main component of most brokers' pay for 2013, said a person with direct knowledge of the matter. The plan would have reduced the so-called grid payout...

Do you know where (else) your clients are?

December 19, 2012

Financial advisers who think they have the full and undivided attention of their clients might be in for a rude awakening. According to Cerulli Associates Inc.'s analysis of a year's worth of studies on financial advisory relationships, 70%...

How top-performing advisory firms got there

November 7, 2012

Top-performing financial advisers attribute their success to intensely focusing on the business of the firm, concentrating on the clients they can serve best and using adviser time wisely. “Professionally managing our business has been a critical...

Financial advisers: To MBA or not to MBA?

November 6, 2012

You have an undergraduate degree in financial planning … now what? The following interview with Derek Klock, assistant professor of practice in the finance department of the Pamplin College of Business at Virginia Tech University, and Jon...

Succession planning's not about you

November 4, 2012

For several years, research has pinpointed succession as a potential trouble spot for an aging advisory business. But retirement is not the only problematic succession issue, and maybe not even the most important one. Our inaugural study on...

Business 'almost as usual' for advisers — despite Sandy's wallop

October 30, 2012

Financial advisers in the path of superstorm Hurricane Sandy communicated with clients from wherever — and whatever way — they could on Tuesday. A number of advisory offices along the northeastern coast stayed shut for a second day because...

RIA owners should know what their firm is worth, but many don't get valuations

February 15, 2018

Nothing perks up the owner of a financial advisory firm quite like a conversation about valuations, but for some reason most firm owners never make the effort to determine exactly what their business is worth until they're being acquired. "I...

Kashkari: U.S. economy still in a bubble

October 7, 2012

Comparing the U.S. economy to a heart attack victim, Pimco's Neel Kashkari said: “We managed to save the patient's life, but he's still on the gurney and he's still overweight.” In his keynote speech last Monday at the Financial Planning...

Helping ease pain of college debt

September 30, 2012

Nearly one of five U.S. families has outstanding college debt, with the average amount at $27,000 in 2010, up 14% over the previous three years, according to a new Pew Research Center report. For some, the debt load is even higher. About 10%...

Gifted at giving: Advisers honored at Community Leadership Awards

September 13, 2012

More than half a dozen financial advisers who have shown remarkable charitable leadership and personal commitment were honored Thursday night at the sixth annual Community Leadership Awards. The awards in five categories were presented by the...

10 issues every plan should address

September 9, 2012

This is excerpted from a column that originally appeared in The Adviser's Consultant, a monthly practice management newsletter published by InvestmentNews. No single succession plan will be right for every firm. Succession plans will be as different...

College CEO blasts FPA's incoming boss

August 26, 2012

The American College's chief executive has taken the Financial Planning Association's incoming chief executive, Lauren M. Schadle, to task about comments she made in advocating the certified financial planner designation. In an interview with...

Succession plan? What succession plan?

August 23, 2012

Most advisers don't have a succession plan. But they can take the first step toward creating one by developing an emergency backup plan in case of death or disability, said officials at Fidelity Institutional Wealth Services. “We're getting...

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