When adviser E. Kim Dignum invites clients or prospects out to play the hilly, meandering course at Mira Vista Country Club in Fort Worth, Texas, she obeys her one unspoken rule of golf etiquette: Play to win.
After trimming the ranks of its brokerage force, Bank of America Corp. wants to put more troops in the field again — this time by promoting and training foot soldiers
Apple Inc.'s introduction of the IPad help boost the investment value for its top 20 owners by as much as $16.9 billion since the day before Chief Executive Officer Steve Jobs unveiled the device.
Firm unveils a market-based equity commission guide designed for financial advisers
After handling several technology presentations at industry events — where I was forced to haul my heavy laptop through airports so I could hook it into a bulky projector — I decided to look into lightweight alternatives.
Jonathan Smith's heart began to race when he opened the e-mail alert on Tuesday from TD Ameritrade. The alert stated that one of his closest clients had filed paperwork to transfer nearly $ 1 million in assets away from the adviser.
Advisers once annoyed by LPL Financial's decision to move brokers from three acquired firms off Pershing LLC's clearing platform say they're pleasantly surprised by how the independent broker-dealer has eased their transition.
What if I were to tell you that my firm had empirical data that clearly highlight a basic fact: Attracting affluent individuals is actually quite simple. I know, it's hard to believe.
Before calling a financial adviser recently, I checked out his website, as I always do to prepare for an interview.
The recent market disruption has taught many advisory-firm leaders an important lesson: Their very best employees are more critical to success than their very best clients.
Although they have spent much of the year cutting costs, many advisory firms are planning to give raises to their employees next year.
Bloomberg's Susan Antilla offers her opinion on just how much (or little) progress women have made in the financial services industry over the last two decades
The following is an edited transcript of an InvestmentNews.com webcast held in New York on March 9.
As more Branch Managers pick up and move to another firm, more and more advisers are quoting the classic 1981 song by The Clash while considering whether they should follow their old boss to greener pastures.
Television's Suze Orman has engaged in a war of Tweets with 'Rich Dad, Poor Dad' author Robert Kiyosaki
Clyde Wyatt managed his father's money for about 18 months before he was abruptly dumped for another adviser: His own son Chris.
This new reality TV show is a hit. Just don't expect to see any financial services CEOs starring in future episodes.
For years, James Barnash brushed aside conflicts at work, hoping the situation would get better. But instead, it made things worse.
