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‘To stand out, I needed to innovate’
BROKER DEALERS DEC 07, 2023
‘To stand out, I needed to innovate’

Katz moved beyond cold calls to cultivate relationships with influential figures like sports agents and estate attorneys, thus broadening his network significantly.

Panel suggests SEC use existing rules to address advisor AI conflicts
FINTECH DEC 07, 2023
Panel suggests SEC use existing rules to address advisor AI conflicts

'You don’t need to reinvent the wheel here. You’ve got the building blocks to address [AI and predictive data analytics] concerns,' says a member of the advisory committee.

Pontera raises another $60 million
RETIREMENT PLANNING DEC 07, 2023
Pontera raises another $60 million

Latest funding round for fintech platform allowing advisors to manage clients’ held-away assets is led by Iconiq.

Firm founder cites industry’s treatment of women
RIAS DEC 07, 2023
Firm founder cites industry’s treatment of women

'I watched men get the advantage in so many ways,' Cathy Curtis says. 'And I got really tired of that myself.'

There's a generational divide in managing rising concern about financial future
PRACTICE MANAGEMENT DEC 07, 2023
There's a generational divide in managing rising concern about financial future

Envestnet survey reveals need for blend of technology and human advisor insights.

RIAs are hiring, but most are also investing in existing staff, Schwab finds
RIAS DEC 07, 2023
RIAs are hiring, but most are also investing in existing staff, Schwab finds

Three-quarters of RIAs surveyed now offer remote work arrangements, and professional development is increasingly cited as a top initiative.

Online brokers misstep in securities lending: Finra
FINTECH DEC 06, 2023
Online brokers misstep in securities lending: Finra

'Who were the accountants? Lending securities can be lucrative,' a compliance executive says.

Advisor focuses on getting ‘a return on life’
PRACTICE MANAGEMENT DEC 06, 2023
Advisor focuses on getting ‘a return on life’

Many wealth management firms lean toward alternatives, but what really separates Taylor Kovar from the pack is his firm’s approach to relationships.

Use your age as an asset when prospecting – no matter what age you are
OPINION DEC 06, 2023
Use your age as an asset when prospecting – no matter what age you are

As you get closer to retirement, you learn that, when you're meeting with a new client, your age can become a little tricky.

The illusory recession: Why advisors should ignore headline noise
OPINION DEC 06, 2023
The illusory recession: Why advisors should ignore headline noise

Predictions of an impending recession stirred concerns, but the U.S. economy has displayed remarkable resilience.

Wells Fargo's indy group, FiNet, bumps up fee for big advisors
BROKER DEALERS DEC 05, 2023
Wells Fargo's indy group, FiNet, bumps up fee for big advisors

What's not clear is how many FiNet advisors will feel the sting of the fee increase.

Donor-advised funds underpin growth in charitable giving
PRACTICE MANAGEMENT DEC 05, 2023
Donor-advised funds underpin growth in charitable giving

Schwab Charitable reported its donors increased their giving by 8%, or nearly $350 million, to more than $5 billion in its fiscal year 2023.

Popcorn, pie and cocoa: Advisors weigh in on holiday gift giving
PRACTICE MANAGEMENT DEC 04, 2023
Popcorn, pie and cocoa: Advisors weigh in on holiday gift giving

Some wealth managers simply don't see a holiday card to clients as being sufficient to show their appreciation. They want to give something more.

Charitable giving is a win-win for advisors 
PRACTICE MANAGEMENT DEC 04, 2023
Charitable giving is a win-win for advisors 

Philanthropic discussions with clients over issues close to their hearts can only deepen that relationship.

Thinking of going independent? How smaller RIAs can win despite disruptive tech  
TECHNOLOGY DEC 04, 2023
Thinking of going independent? How smaller RIAs can win despite disruptive tech  

Advisory Services Network's business development director, Trey Prescott, talks to InvestmentNews.

Shut up and take our money, investors say about financial advice
PRACTICE MANAGEMENT DEC 01, 2023
Shut up and take our money, investors say about financial advice

Demand for paid financial advice is at a high level and rising, survey data show.

Preparing clients for the possibility of cognitive decline
PRACTICE MANAGEMENT DEC 01, 2023
Preparing clients for the possibility of cognitive decline

Advisors highlight strategies to ensure that clients are ready and help those battling the disease.

Advisors using alternatives still a minority despite business case, says Fuse
ALTERNATIVES DEC 01, 2023
Advisors using alternatives still a minority despite business case, says Fuse

Adoption of emerging structures such as interval funds and BDCs remains low.

Helping women in tech align wealth with values
WOMEN ADVISOR COMMUNITY NOV 30, 2023
Helping women in tech align wealth with values

Waddell decided to focus on women in tech because, she says, 'I live in Seattle. Everybody works in tech.'

Keeping clients’ objectives at the heart of investment strategy
WOMEN ADVISOR COMMUNITY NOV 29, 2023
Keeping clients’ objectives at the heart of investment strategy

The journey of Caryn Zweig, CEO of Abner Herrman & Brock Asset Management, has been marked by a keen eye for how and when to invest.