Displaying 160 results
Are active ETFs finally growing in popularity?
The industry blames transparency concerns for a lack of active ETFs, but others aren't so sure. Plus, see the complete Special Report for a full update on ETFs.
Billion-dollar teams warm<br>to indie market
With improvements in technology and compensation models, independent firms are narrowing the gap in battle for the biggest talent on Wall Street.
Advice industry at a crossroads
Financial advice is at a crossroads, as some almost-universal movements under way in the industry are redefining its future.
Firm a haven for brokers with checkered histories
Bruce Kelly reports about Meyers Associates, a small New York broker-dealer with five times the industry average of registered reps with marks, or 'disclosure events' on their record.
Growing into the adviser role
The next-gen advisers InvestmentNews followed for most of the past year — their first in the business — continue to work hard, hoping to earn the right to take on more responsibilities. Here is the latest update from the group.
Succession planning
Exiting the advice business hasn't gotten easier, but there are programs out there to help you find your way. Here is the only guide you'll need.
Finra backs off on data collection
Nodding to public criticism, Finra announced it would limit the type of data that it plans to collect as part of its proposed Comprehensive Automated Risk Data System.
The next level of retirement plan service
Fee policy statements for 401(k)s can give retirement plan advisers a competitive edge. Don't Miss: Our full Retirement Plan Advisers Special Report
Advisers reluctant to take plunge into political life
Advisers are reluctant to pursue political careers thanks to concerns about compliance issues and fear of alienating their clients.
Breaking up is hard to do
Advisers who have lived through the split-up of a practice say it's as gut-wrenching as a divorce. Here's what they've learned.
Social Media
Industry leaders share strategies for integrating social media into advisory practices, plus the latest trend data on adviser social media use.
25 years of outperformance
Dennis Stattman, manager of BlackRock's global allocation fund, has made advisers look smart and has kept clients happy thanks to 25 years of strong returns.
401(k) profiteers’ biggest enemy
A lawyer's efforts to target 401(k) profiteers have caused employers and financial services firms to think twice about 401(k) fees and how they're disclosed.
SEC sets sights on conflicts of interest
The regulator aims to uncover ways financial advisers might be incentivized to not work in the best interests of their clients.
Niche professions
A look at advisers who have thrived by focusing on professionals in a particular industry.
Adviser collaborates with rivals to build brand
It isn't by chance that Frank Moore's firm, Vintage Financial Services, ranks among the best-performing financial advisory businesses.
The regions of RIA growth
Find out what parts of the country are experiencing the biggest boom among RIAs.
Innovation drives results
Record keeping, color coding and cloud computing help one firm add a personal touch to client relationships.
Solving the alternatives riddle
Just when advisers thought they had a handle on alts, questions about their appropriateness in 401(k)s, head-scratching taxation and use in portfolios come to the fore.
Time is now for estate and tax planning
How advisers can help their clients cope with changes that directly affect their estate plans and tax bills.
