More face time, for starters; ranking shows Atlantic Trust scores well with clients
Advisers who raised prices through the financial crisis and its aftermath attracted more new clients and assets than advisers who lowered prices
Many fee-based advisers are under-charging for their services and cheaper rates do not bring in more clients, study finds
Reluctant to entrust their financial assets to any one financial adviser, the nation's top tier of investors is spreading its wealth. In fact, new research shows that well over half of wealthy clients now work with at least five advisers.
Purchase of Zirkin-Cutler biggest acquisition to date for roll-up firm
Cold calls are dead and dinner seminars passé, so financial advisers are using other marketing tactics to attract skeptical and increasingly jaded prospects
A new survey reveals that over half of wealthy clients are now working with at least five -- count 'em -- five advisers. That's a big jump. Two years ago, only 16% of the rich said they used four advisers.
It took a long time, but Kevin Carreno has been vindicated
The 200 to 300 financial advisers and trainees given their walking papers at Morgan Stanley Smith Barney LLC this quarter probably won't have much trouble finding new jobs, according to industry recruiters.
Rising legal costs, tougher regulation and strained capital resources are making broker-dealers more vulnerable than ever
CFO's resignation comes just months after departure of company's CEO
SWS Group Inc. said Thursday its chief executive of eight years has resigned to pursue other interests; board member steps in on interim basis
View from down in the trenches downright gloomy, survey finds
Going independent has never been easier, but there are still a host of issues to consider. This first installment of a four-part special report explores the ins-and-outs of starting your own practice.
Seek out advice from others who have gone out on their own
The terms “sales” and “marketing” are used interchangeably, but they aren't the same
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
When the owners of an advisory firm turn over everyday operations to a senior-level employee, it is a watershed decision — and it is usually one that most firms avoid as long as they can
Financial adviser training and compliance expenses could spike for broker-dealers of all sizes — and become especially burdensome to smaller firms — if the Labor Department applies its proposed fiduciary rule to individual retirement accounts, observers say.
Assets to the RIA channel have more than tripled over the last ten years, a trend that is 'redefining the way investment advice is delivered'
