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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

3 Questions: Brian Hamburger on adviser recruiting
BROKER DEALERS APR 23, 2020
3 Questions: Brian Hamburger on adviser recruiting

The founder and CEO of MarketCounsel discusses whether advisers are rethinking their plans to go independent

Pandemic fallout sends consumers racing toward financial planners
PRACTICE MANAGEMENT APR 23, 2020
Pandemic fallout sends consumers racing toward financial planners

Lockdown gives consumers and DIY investors time for financial spring cleaning

Advisers should look before leaping into stimulus debt programs
OPINION APR 22, 2020
Advisers should look before leaping into stimulus debt programs

Unless it's a matter of business survival, the strings attached to the loans might prove even more costly

Advisers want CFP continuing education to count toward state requirements
PRACTICE MANAGEMENT APR 22, 2020
Advisers want CFP continuing education to count toward state requirements

NASAA model rule would require IARs to complete CE to close the regulatory gap with brokers

Forget the bear! LPL is paying recruits like it's 2019
BROKER DEALERS APR 22, 2020
Forget the bear! LPL is paying recruits like it's 2019

Meanwhile, the giant IBD continues to evolve its business with a new offering targeting wirehouse advisers

What does the Secure Act mean as we emerge from quarantine?
PRACTICE MANAGEMENT APR 22, 2020
What does the Secure Act mean as we emerge from quarantine?

Ed Slott offers some tax strategies for you and your clients to consider in 2020.

TriplePlay: Embracing a specialty to build up business
PRACTICE MANAGEMENT APR 21, 2020
TriplePlay: Embracing a specialty to build up business

Claire Akin outlines three ways advice firms can attract clients and charge a premium for specialized services

Zero-commission ETFs could spur practice changes: Cerulli
PRACTICE MANAGEMENT APR 21, 2020
Zero-commission ETFs could spur practice changes: Cerulli

Report says lower trading costs will encourage advisers to use exchange-traded funds for niche asset allocations

Coaching clients through fear
OPINION APR 21, 2020
Coaching clients through fear

You can now make a long-term difference in the lives of your clients if you know how to recognize and minimize the effects of emotion on judgment

LPL exec moves to Advisor Group
BROKER DEALERS APR 20, 2020
LPL exec moves to Advisor Group

Brian Shulstad will head business development at the firm's Triad Advisors unit

Motif Investing closes
FINTECH APR 20, 2020
Motif Investing closes

The automated investment platform, which raised roughly $126 million in funding since launching in 2012, is just the latest digital wealth manager to shut down

Five ways advisers can support small-business owner clients
OPINION APR 20, 2020
Five ways advisers can support small-business owner clients

Advisers can offer value beyond financial topics by helping business owners steer their firms through the pandemic