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For succession to be success, advisers must face their fears

February 19, 2012

Writing a succession plan isn't too difficult. Overcoming the concerns that inhibit advisers from tackling the project in the first place is. According to consultants and investment bankers who deal with advisory firms in transition, the chief...

Succession plans are new recruiting tool

February 19, 2012

Advisory firms that lack a succession plan may jeopardize their chances to recruit the best young talent, according to some industry experts. “The larger firms are getting better at institutionalizing the process of training and development,...

Niches take flight

April 17, 2011

After 22 years as a pilot with American Airlines — and more than three decades of cockpit experience overall — Mark J. Bras is as familiar with pilot pension plans as he is with the runways at O'Hare. When he isn't flying, he puts his knowledge...

Numbers aren't nearly as important as education

January 29, 2012

Most sophisticated portfolio management and reporting systems allow an adviser to tell a complete performance story to their clients. But how complete the story is relies more on the adviser than the software. Commonwealth Financial Network's...

Are you looking to sell your firm? Here's what acquiring minds seek

April 3, 2011

A growing number of financial advisers will put their firms on the market in the next few years as they plan for retirement, but most aren't doing much to earn top dollar for their businesses when they do sell, industry observers say. Many advisers...

States pushing back ADV-2 deadlines

April 1, 2011

Although many federally registered advisers were scrambling to meet yesterday's filing date for the new ADV Part 2 forms, state-registered advisers in several states, including Michigan, Pennsylvania and Texas, were enjoying a bit of a reprieve....

Buffett urges Wells Fargo to look beyond Wall Street for CEO

April 8, 2019

Warren Buffett, the largest shareholder in Wells Fargo & Co., says the bank should look outside Wall Street for its new chief executive officer to avoid drawing criticism in Washington. "They just have to come from some place [outside Wells]...

Clients undergo a 'significant shift to austerity'

January 8, 2012

Something has changed in the minds of affluent, free-spending financial advisory clients: They have become frugal. “People got very scared in 2008, and it caused a behavioral shift” in favor of saving rather than spending, said Gary Klaben,...

The importance of a continuity plan

March 13, 2011

Are you a fiduciary? Do you have a fully tested and documented continuity plan? If you answered, “yes,” to the former, you need to answer, “yes,” to the latter. Continuity planning isn't the same as succession planning. In fact, there...

Advisory firm values slip; big buying small

March 6, 2011

For the first time in up to a decade, the average sale price of an advisory business fell last year, according to two separate soon-to-be-released studies. The decline in value, although relatively small, reflects the lower revenue and profit...

Salaries inching up for entry-level financial advisers

February 27, 2011

Fledgling financial advisers find that it is a great time to be getting their wings. Neil Teubel considered three offers from advisory firms last summer as he finished the master's program in financial planning at Texas Tech University. One...

Revisit your salary and review process

December 18, 2011

With the year-end salary and review process approaching, now is the perfect time to revisit your firms' human-capital strategy. To be most effective, the salary and review process should be part of a comprehensive strategy aimed at developing...

Navigating the CRM labyrinth

February 6, 2011

It's obvious from my recent conversations with advisers that customer relationship management software still causes plenty of confusion. Not only are there many existing products from which to choose, advisers also face the decision of whether...

Making sense of document storage confusion

January 23, 2011

Advisers are confused and un-certain about web-based document storage and document vaults. Ideally, these solutions provide an adviser with a relatively low-cost, secure online location to upload client reports and other documents, replacing...

American Funds biggest loser in 2010 outflows

January 18, 2011

Offerings from American Funds, Fidelity Investments and The Vanguard Group Inc. had the biggest net outflows last year, according to Morningstar Inc. The American Funds Growth Fund of America Ticker:(AGTHX) topped the list in outflows with $12...

Bring your practice into focus

January 16, 2011

Want to find out what really is on your best clients' minds? Can their ideas improve your business? Sometimes the best way to find out is just to ask. In addition to listening intently to what clients say in one-on-one meetings, a great vehicle...

Merger proved to be her passport to semiretirement in the Caribbean

November 20, 2011

Adviser Sarah Barnhill is one step closer to her dream retirement on the white sand beaches of St. Croix in the U.S. Virgin Islands. Last year, she merged her Greenville, S.C.-based practice with the Asheville, N.C.-based practice of fellow...

Time is right for a big pay day

November 20, 2011

It's a good time to sell a financial advisory business, especially if the owners have spent the past decade planning their exit. Market figures suggest that there is growing investment interest from private-equity firms and consolidators, as...

Five ways to walk away from your practice

November 20, 2011

Advisory firm owners have a handful of options when it comes time to walk away from their businesses. Each option has pros and cons, but most experts agree that the more time an owner is willing to invest in the succession process, the more...

Paterno's home sale legit estate-planning move: Lawyers

November 17, 2011

Joe Paterno's transfer of homeownership to his wife in July most likely was not an attempt to shield assets before a sexual-abuse scandal hit Pennsylvania State University's football program. Instead, it was more likely to take advantage of...

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