A new study performed by Mark Matson shows investors' portfolios are 70% in cash and fixed-income securities. That's three-and-a-half times the allotment from just four years ago. Matson calls the stampede out of equities a 'dysfunctional process'
George Smaragdis, director of media relations at the Financial Industry Regulatory Authority <a href="//www.investmentnews.com/apps/pbcs.dll/article?AID=/20110807/REG/308079974"" target="”_blank”" rel="noopener noreferrer">told me two weeks ago</a> to expect some additional guidance on social media soon and sure enough here it is in the form of <a href="//www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p124186.pdf"" target="”_blank”" rel="noopener noreferrer">Regulatory Notice 11-39</a>.
The head of Schwab Advisor Services apologized yesterday to the firm's RIA clients for sending a marketing piece sent Aug. 9 to advisers' clients who sponsor Schwab-run retirement plans.
Financial advisers up and down the East Coast dealt with the aftermath of Hurricane Irene today as many struggled with communication, commuting or power — and in some cases, all of the above.
It's been a tough week for advisers on the East Coast. The stock markets have been up and down like a yo-yo. On Tuesday, an earthquake struck, a rarity in these parts. And now a hurricane is set to lash the Eastern Seaboard.
Frederick Schultz, Lloyd Seested, David Andreadis, Richard Haskin, Eric Teichberg, and Karen Ben-Shlaush are joining the firm's private wealth group in Washington D.C.
Robert W. Baird & Co. has lured father-son team M. William McCollum Jr. and Travis McCollum from Wells Fargo Advisors LLC to work in its Charlotte, N.C., office.
Advisers in Joplin, Missouri are struggling to keep their businesses going in the aftermath of the deadly twister that flattened much of the city. Says one: 'A lot of things are on hold.'
Companies are cutting back on every conceivable employee benefit – except medical coverage for dependents
The results of an exclusive <i>InvestmentNews</i> survey of roughly 1,000 advisers on the software and technology they use most often.
Broker-dealers are experiencing a slowdown in recruiting compared with the busy years of 2008 and 2009 when merger and acquisition activity was heavy and financial advisers were fleeing larger conglomerates
Can you state your firm's vision?
The vast majority of financial advisers see technology as critical to driving growth. And 73% of the advisers who responded to the <i>InvestmentNews</i> <a href=http://www.investmentnews.com/article/20110411/INCR/110419987>RIA Technology Study</a> rated their return on investment for technology spending as medium to high.
As he watched his advisory business thrive over the past few years, Anthony Halpin noticed that his website had become stale
Searching for a “transformational business model,” Bank of America Merrill Lynch private banking vets Paul A. Pagnato and David W. Karp have joined HighTower Advisors LLC.
Campaign touting the value of certified financial planning designation set to run on ESPN, CNN and Fox News, among others
A multimillion-dollar campaign to encourage investors to use credentialed financial planners to manage their money launches this week with a print advertisement in three business magazines.
Wild swings and declines in the market have advisers addressing constant client questions.
As the ranks of independent advisory firms have swelled, so has the challenge of coming up with a unique company name
