Client retention and creating a service-based strategy for a seamless transition are paramount.
The new exec is taking place of founding chief executive Edmond Walters, who stepped down in September
Called 1888 Management, the firm scouts for personal investments for the Kochs.
The hire gets a thumbs up from advisers, based solely on his technology background
It pays to understand any governance structures already in place to ensure they meet expectations for every type of client.
Fidelity Investments has set its sights on the ultimate data dashboard for its advisers, likely using eMoney Advisor's technology and the financial planning software's relationships with custodial competitors.
Initiative will link mentors with those studying for CFP mark in an attempt to address gender gap in financial planning.
Advisers won't have a choice when it comes to picking up new tech to serve smaller accounts.
Distribution of more variable annuities in an advisory rather than commission environment could play out as a result of Labor Department regulation.
<i>Breakfast with Benjamin</i> If the data is correct, women's investment returns have been trouncing men's for nearly a decade.
Agency brought 126 actions against more than 230 adviser or company defendants in 2015, about 15% of the total enforcement cases last year.
Mr. Thibeault pled guilty to misappropriating around $15 million from the GL Beyond Income Fund.
Rule requires transferring brokers to send an “educational communication” to clients they are trying to convince to make the move with them.
Last year's acquisition will bring the firm information on held-away assets and widgets to analyze all aspects of clients' financial decisions.
An exam can be demanding and time-consuming, but it will go smoother if you prepare for it in advance. </br><b><i>(Plus: <a href="//www.investmentnews.com/gallery/20160311/FREE/311009999/PH/sec-exam-cheat-sheet" target="_blank" rel="noopener noreferrer">10 tips to survive an SEC exam</a>)</b></i>
The robo-adviser saw a 55% increase of total rounds since 2010.
The service will help advisers create and manage investments for clients.
Financial services firms that want to offer better digital investment advice must focus on training and education to better serve clients, according to the Financial Industry Regulatory Authority.
Key takeaway from career website Glassdoor Inc.'s latest report: The more skills a role requires, the better chance it has at commanding a higher salary.
The Financial Industry Regulatory Authority Inc. barred a Phoenix-based broker for making 12 unsuitable recommendations regarding debt instruments known as debentures.
