Your Practice

Displaying 13040 results
RIAS NOV 01, 2013
RIAs need to focus on compensation to foster growth, advisers told

With a shortage of advisers facing the industry, the cost to keep them will continue to go up, Fidelity's Waldemar Kohl said. The median compensation cost per lead adviser has grown to $174,000 this year from $165,000 in 2009, according to numbers presented at the conference. And personnel costs make up about 70% of adviser expenses.

FINTECH NOV 01, 2013
Time for financial advisers to automate their referral process

RIAS OCT 31, 2013
Morgan Stanley veterans launch firm using Raymond James platform

A group of veteran Morgan Stanley managers has broken away from the wirehouse to form a partnership with Raymond James to offer equity ownership and succession planning to advisers.

RIAS OCT 31, 2013
Advisers who serve have a double duty — to Uncle Sam and their clients

Anyone who thinks they have busy days should listen to Chris Pollard's tale. This Regent Wealth Management Group financial adviser spent a year activated in the Army National Guard as a budget analyst by day — while serving his 100 advisory clients at night and over the weekends.

BROKER DEALERS OCT 31, 2013
Adviser head count expected to drop amid lack of new recruits

Cerulli study forecasts a drop of more than 25,000 advisers by 2017, most from wirehouses and broker-dealers. The problem? A lack of new recruits.

PRACTICE MANAGEMENT OCT 31, 2013
Wirehouse turnover picks up, but it's mostly musical chairs

Recent moves point to building momentum after year and a half of sluggish action

PRACTICE MANAGEMENT OCT 31, 2013
Advisers must take closer look at continuity plans, SEC says

Financial firms asked to shorten the time it takes to recover from an emergency.

PRACTICE MANAGEMENT OCT 31, 2013
Regulators want firms to improve continuity plans

Advisers encouraged to increase disaster preparedness following Superstorm Sandy

BROKER DEALERS OCT 30, 2013
LPL adds adviser network managing $1.2B

Arizona group of about 40 financial advisory practices joins LPL. The network's founder is looking to add 50 new offices next year.

ALTERNATIVES OCT 30, 2013
Tradeweb Markets acquires BondDesk Group

Tradeweb deal will combine technology and services from BondDesk and Tradeweb Retail to create a rebranded Tradeweb Direct retail fixed-income division.

FINTECH OCT 30, 2013
Do you outsource work to your clients?

What separates most advisory firms from one another is not someone's investment prowess but rather their ability to serve their clients. To do that effectively, we sometimes have to “unscale” our business.

PRACTICE MANAGEMENT OCT 30, 2013
UBS hires upstate New York father-son adviser team managing $144M

UBS hires father-son adviser team managing $144M from rival wirehouse Morgan Stanley Wealth Management.

FINTECH OCT 30, 2013
Can RIAs survive the rise of the robo-advisers?

By 2020, the majority of wealth management will probably still involve real, live wealth managers, but the rise of the "robo-advisers" continues. Are you ready?

PRACTICE MANAGEMENT OCT 30, 2013
Take 5: New NASAA president Andrea Seidt

Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down.

PRACTICE MANAGEMENT OCT 30, 2013
Pricing wars: How to compete in an evolving industry

RIAS OCT 30, 2013
Understanding your clients' '3 am moment'

When your clients wake up in the middle of the night with sweaty palms, what are they afraid of? What is it they ultimately want you to protect them from?

FINTECH OCT 30, 2013
The convergence of high tech and high touch

Technology has vastly improved transactions in our industry, but JP Nicols says we also need it to improve relationships.

PRACTICE MANAGEMENT OCT 29, 2013
Women in the advice business

Are women on the rise or dropping out of the career track before the next promotion? A snapshot from the 2013 <i>InvestmentNews</i>/Moss Adams Adviser Compensation and Staffing Study capturing gender breakdown of pay and work in the advisory industry.

FINTECH OCT 29, 2013
Windows 8.1 for financial advisers: probably time to upgrade

Microsoft has released its first major update for Windows 8 with a slew of fixes intended to improve features and address many usability issues and concerns with the original release. Is it time to make a change?

FINTECH OCT 29, 2013
Has financial press overhyped social media?

The financial industry has a tendency to blame mainstream media for hyping financial news, and yet, is guilty of the same crime where social media is concerned, according to Robert Sofia of Platinum Strategies