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Cetera loses more top executives
BROKER DEALERS APR 28, 2020
Cetera loses more top executives

This month alone, five members of the broker-dealer's senior staff have left

Private equity firm takes majority stake in Docupace
ALTERNATIVES APR 28, 2020
Private equity firm takes majority stake in Docupace

In the wake of FTV Capital's investment, David Knoch of 1st Global has been named CEO of Docupace

The Great Reset: How COVID-19 has changed us and our role as advisers
OPINION APR 28, 2020
The Great Reset: How COVID-19 has changed us and our role as advisers

It's safe to assume that amid this crisis, your clients are rethinking their priorities

TriplePlay: Creating a memorable brand
PRACTICE MANAGEMENT APR 28, 2020
TriplePlay: Creating a memorable brand

Robert Sofia of Snappy Kraken highlights three ways advice firms can make their brands stand out from the crowd

Benchmark your firm’s financial performance and compensation plans
PRACTICE MANAGEMENT APR 28, 2020
Benchmark your firm’s financial performance and compensation plans

All adviser participants receive a complimentary copy of the study and access to the Adviser Research Dashboard

3 Questions: David Mehlhorn on the value of good news
PRACTICE MANAGEMENT APR 27, 2020
3 Questions: David Mehlhorn on the value of good news

The Redtail Technology sales director describes the importance of sharing positive adviser news

SEC orders RBC to pay $3.9 million over share-class disclosure
PRACTICE MANAGEMENT APR 27, 2020
SEC orders RBC to pay $3.9 million over share-class disclosure

The enforcement action demonstrates the agency's continued targeting of conflicts over fund fees

Advisers see shift to planning, survey finds
PRACTICE MANAGEMENT APR 27, 2020
Advisers see shift to planning, survey finds

Broadridge survey shows more advisers are changing their business model to provide financial wellness services

Team managing $300 million exits Wells Fargo for LPL
BROKER DEALERS APR 27, 2020
Team managing $300 million exits Wells Fargo for LPL

Ashworth Financial in Tryon, N.C., affiliates with LPL's new breakaway unit

Best Places to Work: Five HR policies that help top firms stand out
OPINION APR 27, 2020
Best Places to Work: Five HR policies that help top firms stand out

Salary and benefits are important, but the Best Places to Work gain their edge by fostering work-life balance

Tech tools tackle marketing amid COVID-19
FINTECH APR 27, 2020
Tech tools tackle marketing amid COVID-19

While advisers may not have resources to step up marketing campaigns, tech firms are stepping in to streamline the process

Best Places to Work for Financial Advisers 2020
PRACTICE MANAGEMENT APR 27, 2020
Best Places to Work for Financial Advisers 2020

InvestmentNews’ third annual Best Places to Work for Financial Advisers highlights 75 advice industry firms that recognize the importance of a strong work culture. The firms' profiles detail the HR policies and workplace practices they use to attract and retain skilled advisers

To succeed tomorrow, build  a new workplace today
OPINION APR 26, 2020
To succeed tomorrow, build a new workplace today

Prepare a workplace that permits employees to succeed under any circumstance

3 Questions: Rich Cancro on selling firm to Franklin Templeton
FINTECH APR 25, 2020
3 Questions: Rich Cancro on selling firm to Franklin Templeton

The founder of AdvisorEngine talks about how the deal went down

Indie managing $415 million moves to Raymond James from LPL
RIAS APR 24, 2020
Indie managing $415 million moves to Raymond James from LPL

Elite Financial Management’s Bill Dendy and three reps switch firms in Dallas

Rutledge leaving Labor Department at end of May
PRACTICE MANAGEMENT APR 24, 2020
Rutledge leaving Labor Department at end of May

The assistant secretary of Labor worked on plans to permit electronic plan disclosures

Cetera cuts REIT sales, loses senior recruiter
ALTERNATIVES APR 24, 2020
Cetera cuts REIT sales, loses senior recruiter

Broker-dealers are pausing the sale of real estate products while the broader market absorbs the shock of the shutdown

Thrivent Financial ups efforts to put customers ahead of products
LIFE INSURANCE AND ANNUITIES APR 24, 2020
Thrivent Financial ups efforts to put customers ahead of products

The new chief commercial officer position signals a focus on holistic planning

Clients don't grasp fees, and that's bad for business
RETIREMENT PLANNING APR 24, 2020
Clients don't grasp fees, and that's bad for business

Not knowing how their advisers are compensated affects clients' trust, according to a Hearts & Wallets report

RIA M&A could pick up in the wake of coronavirus
OPINION APR 24, 2020
RIA M&A could pick up in the wake of coronavirus

The market downturn may have hurt some valuations, but many of the other factors that have been fueling deal-making are still in place