Your Practice

Displaying 13009 results
RIAS OCT 16, 2014
The evolution of how advisory firms monitor and sustain their success

The most successful advisory firms prioritize revenue and operations over adviser capacity to remain on top.

PRACTICE MANAGEMENT OCT 16, 2014
House poised to approve continuing resolution that freezes SEC budget

House poised to approve continuing resolution that freezes SEC budget, while agency's chairman says funding not enough to support expanded adviser exams

PRACTICE MANAGEMENT OCT 15, 2014
How to nail your team's next presentation

Here's how to avoid letting interpersonal dynamics alienate colleagues and clients.

3 risk-related reasons to put off claiming Social Security
RETIREMENT PLANNING OCT 15, 2014
3 risk-related reasons to put off claiming Social Security

The choice of when and how to claim Social Security benefits can affect the three biggest financial risks that retirees encounter.

PRACTICE MANAGEMENT OCT 14, 2014
Wells Fargo nets $972M JPMorgan team

Wells Fargo Advisors continues to build on its recruiting momentum with the addition of a trio of former JPMorgan Chase & Co. private bankers.

PRACTICE MANAGEMENT OCT 14, 2014
SEC seeks to bar adviser who allegedly stole $2M

Administrative action follows Federal Court order for adviser Paul Marshall and associated companies to pay fines and disgorgement of more than $15 million.

RIAS OCT 14, 2014
SEC exams could cost RIAs thousands – or even millions

New study pegs the annual cost for industry at $310 million, but fees for individual firms would vary based on AUM.

BROKER DEALERS OCT 13, 2014
LPL's former star adviser finds a home

James “Jeb” Bashaw is now registered with small broker-dealer International Assets Advisory.

EQUITIES OCT 13, 2014
Practice your play-calling for the next market correction

Proactive service during turbulent markets can help strengthen existing client relationships – and help forge new ones.

RIAS OCT 13, 2014
New Fidelity CEO Abigail Johnson wants to be 'accessible to advisers'

Abigail Johnson, successor at the privately owned, family-run company, wants to understand the businesses of her clients, including advisers.

LIFE INSURANCE AND ANNUITIES OCT 13, 2014
Indexed universal life insurance faces fresh scrutiny

Regulators homing in on whether insurers are presenting a picture of performance that's too rosy.

BROKER DEALERS OCT 13, 2014
LPL Financial agrees to pay $541,000 for faulty variable annuities switches in Massachusetts

Massachusetts Commonwealth Secretary William Galvin announces payment to reimburse senior citizens for surrender charges paid when switching variable annuities.

FINTECH OCT 13, 2014
BloombergBlack honcho John Michel comes full circle with new gig

Former BloombergBlack honcho John Michel picks up where his last gig left off, and picks up Lebenthal Wealth as a client.

FINTECH OCT 13, 2014
When disaster strikes

Investment advisers are required to have an emergency plan. Assuming you have one, have you really looked at what it says? Have you tested it? Do you know if it will work?

PRACTICE MANAGEMENT OCT 13, 2014
You don't have to go it alone

Gains from creating an advisory team are tremendous, though not without trials.

FINTECH OCT 11, 2014
Pimco-Bill Gross saga continues to pique advisers' interest

Catch up on this week's must-read stories for advisers, including the latest post-Gross Pimco developments, a robo-adviser launched by two financial media titans, and more.

WOMEN ADVISOR COMMUNITY OCT 10, 2014
Betting on women-led companies

The company's president and CEO talks about a new fund investing in firms with diverse leadership. <b>Plus don't miss: <a href=&quot;http://www.investmentnews.com/section/specialreport/20140817/WOMEN&quot;>Women and Investing special report</b></a>

RETIREMENT PLANNING OCT 10, 2014
How gay couples can act on Social Security benefits now

Though rules still vary from state to state, all same-sex couples should take steps to claim benefits.

PRACTICE MANAGEMENT OCT 09, 2014
Automating decisions may help advisers save investors from themselves

You can't change someone's behavior, so for trigger situations, take them out of the equation as much as possible.

FINTECH OCT 09, 2014
Relationships: The real social media ROI

When engaging clients, forget investment advice. Talk about your life, and ask about theirs