Displaying 159 results
Rebecca Pomering: How top RIAs recruit and retain top talent
In this sit-down with Kelli Cruz, the director of research and consulting for IN Adviser Solutions, Moss Adam's Rebecca Pomering discusses talks about how top firms are managing their human capital - and how to use compensation to improve recruiting, retention and performance of personnel.
Mark Tibergien: Tips for becoming a top RIA
In this sit-down with Kelli Cruz, the director of research and consulting for IN Adviser Solutions, Pershing's Mark Tibergien discusses some of the major changes in the advisory industry - and offers suggestions on how RIAs can get the most out of their human capital.
Making a more perfect practice
As the financial advisory business in general, as well as the individual practices, becomes more complex, advisers must anticipate and respond to a myriad of challenges
Outsourcing RIA oversight a ‘non-starter’
A proposal to allow advisory firms to outsource routine compliance exams, rather than rely on government auditors or a self-regulatory organization, is already facing head winds from the brokerage industry
What do most RIAs <i>really</i> want? Growth
Along with the thousands of advisers under one roof here at the Schwab Impact conference in San Francisco, there are also thousands of opinions on issues ranging from economics to politics.
When it comes to technology, it’s the little things that count
This intrepid (and tired) reporter has been riding the rails and flying the crowded skies over the past few weeks attending conferences, taking part in panels and meeting with many financial advisers about my favorite subject: adviser technology
RIAs have the opportunity to use social media to build business
Many financial services firms are outright forbidding the use of social media by their affiliated advisers or in rare cases, putting forth a rigid set of rules and templates that make social-media use awkward at best
Advisers still failing at finding successors
More aim to put a succession plan in place, but lining up that perfect someone elusive; heirs not apparent
Advisers: Staff up, then make your bid for new business
If you've set on a path to expand your business, you might be racking your brain trying to think of ways to attract new clients.
Assets being snatched up, but valuations of RIAs still depressed
RIA client assets that changed hands through acquisitions soared in the first half of the year but valuations of the firms are still below the 2008 peak, according to Schwab Advisor Services.
In name game, firms struggle to stand out
As the ranks of independent advisory firms have swelled, so has the challenge of coming up with a unique company name
Creating a niche practice makes it easy to build business
James Barnette Jr. never had trouble getting clients, largely because he focused on a very specific niche: providing retirement plans to American educators who work abroad.
After getting nuts and bolts right, focus on clients’ emotional well-being
In 2007, Rick Kahler lost five of his six employees within two months.
The B-S solution to the fiduciary issue
With everything Washington politicians have to worry about this year — gigantic budget deficits, getting re-elected, the disintegration of Arab countries, getting re-elected, the rotten economy and getting re-elected — there's a good chance the fiduciary-standard issue may not be resolved for quite some time.
Two top Securities America advisers bolt for rival LPL Financial
'Stay bonus' be damned: LPL's gain is Securities America's loss as two top producers depart
Philly RIA to return $11M to clients
A Philadelphia registered investment adviser has agreed to return nearly $11 million for misappropriating funds from clients who were told their money would support socially conscious investments, while it really went to pay the adviser's debts and for other purposes, according to federal regulators
Brotherly Love? Philly RIA to return nearly $11M to clients
A Philadelphia registered investment adviser agreed to pay nearly $11 million for misappropriating funds from clients who were told their money would support socially conscious investments, while it really went to pay the adviser's debts and for other purposes, according to federal regulators.
Tougher 401(k) rules seen as ‘full employment act’ for RIAs
As the Labor Department prepares to issue stricter rules for the retirement fund industry, financial advisers at RIA firms are licking their chops over the prospect of poaching business from broker-dealers and insurance agents
For RIAs, time is ripe to pick off 401(k) assets
Planned regulations will hike the standard of care for those who advise DC plans. That should give RIAs a good chance of picking off assets from brokers and wirehouse advisers.
Some advisers decide bigger isn’t better
Limiting the size of their practices allows them to devote more time to clients
