While most of us are already well on our way to breaking our New Year's resolutions to lose weight, exercise more or declutter our desks, here are some ideas for resolutions that financial advisers might want to consider — and stick to — for 2012.
Well-known veteran investment adviser Rob Isbitts will oversee investments for Ron Carson's new RIA.
Signatures on letters often followed by 'RIA,' implying earned designation; it's not
A survey by the SEI Advisor Network found that wildly volatile markets in 2011 presented an opportunity for advisers to reach out more to clients and strengthen existing relationships.
Custody unit boss receives 35% hike, as brokerage's management delivers in 'difficult operating conditions'
Raymond James' custody unit has picked up four new RIA firms with more than $400 million in assets.
Thank you, Judge Jed Rakoff, for insisting that the SEC and big financial services firms come clean with the facts surrounding their legal battles before asking courts to sign off on a settlement.
Financial advisers have begun to incorporate video into their marketing as a key client communication and business development tool.
Rudy Adolf said he became convinced that RIAs were the future of the investment management business back in the late 1990s, when he was running a traditional brokerage firm.
Which individuals will have the greatest impact on financial advisers and the overall industry in 2012? InvestmentNews highlights the 20 most powerful people of 2012, according to our editors and reporters.
Investment advisers don't seem thrilled by the prospect of switching from SEC oversight to an SRO -- particularly if that SRO is Finra. Now comes word that advisory firms might pay twice as much in fees if Finra were to take the reins from the Commission. (photo: lobstar28)<br> <b>EXTRA</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20111202&Category=FREE&ArtNo=120209999&Ref=PH>The secrets of less-successful advisers &raquo;</a>
The Securities and Exchange Commission has blundered badly in the past decade, missing several major scandals, including the Enron fraud and the Madoff Ponzi scheme. Most recently, its proposed settlement with Citigroup Inc. was rejected by a federal judge.
A small broker-dealer in Buffalo is shutting down next year because its five teams of financial advisers want to find a better fit for their individual businesses.
A bit of Southern hospitality mixed with big-city benefits has helped Atlanta remain an ideal place to build a wealth management business, even though it is still recovering from an economic downturn.
Raymond James Financial Inc. will see a number of upper-management changes in the new year, including the departure of Dick Averitt, longtime chief executive of Raymond James Financial Services Inc.
A hefty charge that ING Groep NV will take on its American variable annuity business appears to be a mixed blessing for investors hoping to snap up shares of the company's insurance unit once it makes its public debut.
As The Charles Schwab Corp. officially begins promoting its new Independent Branch Services franchise program, observers wonder how the firm will pull off the ambitious plan to expand its footprint with independent contractors.
