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Succession planning requires a plan
OPINION OCT 26, 2021
Succession planning requires a plan

Bring on a junior adviser at least five to seven years prior to retirement, to give both the adviser and clients time to acclimate to the role and those important relationships.

Taking a pass on troublesome clients
OPINION OCT 25, 2021
Taking a pass on troublesome clients

It’s not easy to tell which prospects are going to pose problems — but it’s definitely easier to say no to a prospect than to terminate a client later.

Diversity in financial advice: Recruiting priority or PR play?
PRACTICE MANAGEMENT OCT 25, 2021
Diversity in financial advice: Recruiting priority or PR play?

Press releases touting recent hires fall short in the effort to make the financial advice industry more diverse.

Citi becomes first Wall Street bank to agree to racial audit
PRACTICE MANAGEMENT OCT 25, 2021
Citi becomes first Wall Street bank to agree to racial audit

The deep dive into the bank's business will be conducted by lawyers at Covington & Burling, and will focus on Citi's 2020 commitment to dedicate $1 billion to initiatives aimed at closing the racial wealth gap in the US.

Advisers beware: Bitcoin futures ETFs are a game-changer
FINTECH OCT 25, 2021
Advisers beware: Bitcoin futures ETFs are a game-changer

Advisers who have been steering clear of digital currencies need to study up and be prepared to talk their clients through the pros and cons of this asset class.

Succession planning is essential
PRACTICE MANAGEMENT OCT 25, 2021
Succession planning is essential

Advisers that put off planning for the future leave themselves open to unnecessary risks when they should be relishing the fruits of their labor.

It’s time to rev up broker-dealer enterprise technology
FINTECH OCT 25, 2021
It’s time to rev up broker-dealer enterprise technology

B-D tech expert Darren Tedesco discusses how B-Ds can reconstitute their technology stacks to drive growth and efficiency gains.

Addepar buys AdvisorPeak
FINTECH OCT 22, 2021
Addepar buys AdvisorPeak

The acquisition adds portfolio rebalancing and trading to the Addepar platform.

FeeX gets more business from RIAs for 401(k) service
RETIREMENT PLANNING OCT 22, 2021
FeeX gets more business from RIAs for 401(k) service

Carson Group is the latest to sign up for the three-year-old service that lets advisers allocate assets in held-away accounts like 401(k)s. It is compliance-friendly and secure, the firm says.

Evolving investor education in the age of meme stocks
OPINION OCT 22, 2021
Evolving investor education in the age of meme stocks

The deluge of information available about investing has driven many young people to gravitate toward the largest, loudest and most popular financial influencers on various message boards and online video channels.

Schwab on track to begin TD account transitions
FINTECH OCT 21, 2021
Schwab on track to begin TD account transitions

The process of switching investment accounts from one firm to the another is one of the most anxiety producing events in the work life of a financial adviser.

The demise of Worden Capital signals danger for investors and harm to the industry
PRACTICE MANAGEMENT OCT 21, 2021
The demise of Worden Capital signals danger for investors and harm to the industry

Unpaid arbitration awards have been a consistent stain on the retail securities industry. Brokers have been walking away from paying investors for years.

The new rules for a tech-driven world post-pandemic
FINTECH OCT 20, 2021
The new rules for a tech-driven world post-pandemic

'There is no remote work. There is only work,' futurist Mike Walsh said during a session on the future of the industry at the Schwab Impact conference.

Steps to hire diverse talent
PRACTICE MANAGEMENT OCT 20, 2021
Steps to hire diverse talent

Firm leaders and executives should aim to broaden their potential talent pool and professional networks, says Schwab's Leslie Tabor.

Pandemic side effect: Rampant burnout
PRACTICE MANAGEMENT OCT 20, 2021
Pandemic side effect: Rampant burnout

People are overworked, and burnout is causing 'brain fog,' exhaustion, cynicism and other issues, Jennifer Moss said at Schwab Impact.

Adviser Josh Brown launches wealth management event
FINTECH OCT 20, 2021
Adviser Josh Brown launches wealth management event

Future Proof, which will cover technology and trends, is set for Huntington Beach, California, in September 2022.

Dimon boosts JPMorgan wealth advisers' pay from Windsor Castle
PRACTICE MANAGEMENT OCT 20, 2021
Dimon boosts JPMorgan wealth advisers' pay from Windsor Castle

The overhauled compensation structure is tied to revenue production and features a length-of-service award for high performers with additional revenue, which will be paid in restricted stock units.

Is custody commoditized? The #3 custodian says yes
PRACTICE MANAGEMENT OCT 20, 2021
Is custody commoditized? The #3 custodian says yes

What should you consider when you are considering a custodian? Whether you are an existing RIA or a registered rep looking to make a move, LPL senior vice president Steve Earner has some useful tips.

Should celebrity profiles be considered investment advice?
FINTECH OCT 19, 2021
Should celebrity profiles be considered investment advice?

Investing apps allow investors to trade securities and share those strategies with like-minded traders. Regulators may need to consider whether they're also providing investment advice.

TD Bank to offer robo-adviser
FINTECH OCT 19, 2021
TD Bank to offer robo-adviser

The bank is strengthening its investment advice offerings by adding both a robo-adviser and a hybrid adviser.