When my mom died, she left a few humble bequests: a checking account and several certificates of deposit, her wedding ring and personal items that didn't have monetary value.
<i>InvestmentNews</i> has entered into a partnership with Moss Adams LLP to continue the research and studies conducted and produced by Moss Adams since 1992 on independent financial advisory firms.
Running a successful family financial advisory business is much tougher than the smiling portraits posted on many firm's websites would lead a client or prospect to believe.
A recent decision by a three-judge panel of the federal appeals court in Boston “dramatically expands securities fraud liability” and should be reversed, the U.S. Chamber of Commerce said in an amicus brief filed April 22.
To communicate with both ends of the client spectrum, top advisers employ technology to make processes predictable, sustainable and repeatable
The prospect of doing client reviews in the wake of the market's performance over the last three quarters is nothing short of dispiriting.
Let's not bother to rehash the difficulties our industry has experienced over the last few months.
As part of a massive overhaul of its U.S. wealth management business, UBS AG is set to shed up to 2,000 jobs, shrink its regional operations and consolidate a number of branches here over the next several months.
How can you get the most out of your technology investments?
Clients are anxious and likely to bolt. A study last fall by wealth analyst Russ Alan Prince found that 81% of those with $1 million or more in investible assets plan to take money away from their current adviser.
Wachovia Securities last month stopped offering recruitment packages to potential recruits to its profit-formula platform.
Financial advisers exhausted from dealing with stressed-out clients now find themselves dealing with another stressed-out constituency: their assistants.
The Foundation for Financial Planning's annual Be Our Guest program kicks off next month when six of the nation's top financial planners open their firms' doors to colleagues from around the country.
Over the past four weeks, we have outlined the steps for building a retirement advisory board. Now comes the hard part — making it happen.
If you have just come back from the <i>InvestmentNews</i> Retirement Summit, you are probably thinking about how to let clients know you are a resource for their retirement needs.
A high-tax environment can be a win-win for clients with a Roth IRA and for financial advisers who would like to expand their businesses, according to financial guru Edward A. Slott.
Retirement advisory boards can be invaluable to your business, but the fastest way to make them fail is to make them all about you.
If you ever wondered what would make your independent brokerage or financial planning business attractive to a buyer, ask me.
