Hi folks, Davis Janowski, technology reporter with InvestmentNews here. We have created a short, simple survey for advisers in order to determine how many of you use which products and vendors and gauge your level of satisfaction with them. This will not only help me with my stories and columns but give you, the advisers, a sense of the popularity and market share they have.
While much of the East Coast battens down the hatches ahead of Hurricane Irene, advisers in the path of the storm say they're not overly concerned about what the nasty weather will do to their operations. One piece of advice: buy a generator.
Alex Brown, a defensive end with the New Orleans Saints, is suing his former team of financial advisers, alleging that they “abused the trust” of the player and his wife.
Joe Paterno, the under-fire Penn State Nittany Lion coaching legend, has been assailed by some for selling his home to his wife for $1? The claim? Paterno was attempting to shield his assets from potential lawsuits. Not so, say estate lawyers in Pennsylvania. | <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Avis=CI&Dato=20110711&Kategori=FREE&Lopenr=711009999&Ref=PH>PSU ranked No.1 — on the list of most expensive state schools &raquo;</a>
With the debt-ceiling fast approaching, it's pretty certain taxes aren't going to go down -- and are likely to go up for wealthy filers. Here's what advisers are telling their clients to do to minimize the bite.
Internal succession tends to be far less disruptive than other succession routes, observers said. That is because it usually takes place gradually — often over a period of years rather than months.
Recruiting will become more expensive in 2011 as the fight for top advisers heats up among independent broker-dealers looking to bounce back from a lackluster 2010.
The most popular succession plan among financial advisers is to have no plan at all
My favorite-blog-post-title-of-the-year-so-far award goes to Adam Levin, founder and chairman of Credit.com: <a href="//www.credit.com/blog/2011/07/the-morgan-stanley-smith-barney-breach-losing-client-data-the-old-fashioned-way/"" target="”_blank”" rel="noopener noreferrer">The Morgan Stanley Smith Barney Breach: Losing Client Data the Old Fashioned Way</a>. Actually, I'm not sure if it is a blog or a true news site, regardless, it is not the typical news outlet you would expect for such a large story.
A compilation of research shows that exchange-traded-fund investors are wealthier, younger, and more engaged than their mutual fund counterparts -- in other words, practically perfect clients. So why aren't more advisers embracing ETFs?
A new survey reveals that women are more stressed about their money than men. They're also less certain about what to do about their finances.
Because the barrier to going independent is 'higher than ever,' claims Pershing's Mark Tibergien. He may be on to something.
Finra yesterday began surveying registered representatives and principals about their job functions as a first step in updating qualification exams.
A federal certification would strain resources; some simple approaches help
For some advisers, small is not only beautiful — it is profitable, too
There were 316,812 buy trades placed in the retail-municipal-bond market last month, according to data from BondDesk Trading LLC
Scrutiny over whether broker-dealer representatives are employees or independent contractors is heating up again in California as a bill works its way through the state Legislature that would punish firms for willful misclassification
BondWorks already in beta with 20K customers; new wealth management platform three years in the making
