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LPL sees demand for yield products amid down market
BROKER DEALERS OCT 28, 2022
LPL sees demand for yield products amid down market

Commission revenue for fixed-income investments and annuities increased in the third quarter at LPL.

Private Advisor Group introduces Orion-powered investment platform
FINTECH OCT 27, 2022
Private Advisor Group introduces Orion-powered investment platform

WealthSuite offers fund and ETF model portfolios that are intended to save time for the firm's more than 750 advisers.

Schwab sets date to transition advisers, clients and assets from TD Ameritrade
FINTECH OCT 27, 2022
Schwab sets date to transition advisers, clients and assets from TD Ameritrade

Tom Bradley of Schwab reiterated his promise to advisers that there will be no repapering of clients and that most firms will be able to keep their service teams.

Some advisers welcome increased regulatory scrutiny of outsourcing
FINTECH OCT 27, 2022
Some advisers welcome increased regulatory scrutiny of outsourcing

A fiduciary mindset when vetting third-party providers should keep them out of trouble, some say. But there are concerns about the regulatory costs entailed for small firms.

International CFP standards group names new CEO
PRACTICE MANAGEMENT OCT 27, 2022
International CFP standards group names new CEO

Dante De Gori served previously as the chief executive officer of the Financial Planning Association of Australia.

Merrill adds premium outside manager service
PRACTICE MANAGEMENT OCT 27, 2022
Merrill adds premium outside manager service

The service allows the firm's high-net-worth clients to use a variety of third-party asset management firms.

Shared responsibility for winning diverse talent and clients will reap shared results
PRACTICE MANAGEMENT OCT 27, 2022
Shared responsibility for winning diverse talent and clients will reap shared results

Cultural competency is within reach even as the profession persists with its long-term initiatives.

Raymond James shares pop on strong wealth management earnings
PRACTICE MANAGEMENT OCT 27, 2022
Raymond James shares pop on strong wealth management earnings

The firm reported 8,681 financial advisers at the end of September, an increase of 199 compared to the same time last year.

Financial services firms leave billions on the table by overlooking women investors
RIAS OCT 26, 2022
Financial services firms leave billions on the table by overlooking women investors

A report details unique needs and investing perspectives of women and estimates that failing to tailor products to their needs cost the industry about $14 billion last year.

Ameriprise reports more adviser hiring in third quarter
PRACTICE MANAGEMENT OCT 26, 2022
Ameriprise reports more adviser hiring in third quarter

The company continued to increase revenue per adviser despite the headwinds of the currently stormy stock market.

How advisers should navigate this bear market
OPINION OCT 26, 2022
How advisers should navigate this bear market

Guiding jittery clients through rough financial patches is one of the most important things advisers do, but they need to keep themselves from being emotionally drained by the effort.

Overlooked and underestimated, Asian women are more than ready to advance in the advisory industry
PRACTICE MANAGEMENT OCT 25, 2022
Overlooked and underestimated, Asian women are more than ready to advance in the advisory industry

Asian women want and deserve more opportunities to prove their worth as experts, leaders and rainmakers.

Rising above minutiae can offer new view of opportunities
OPINION OCT 25, 2022
Rising above minutiae can offer new view of opportunities

When considering a move, it’s critical to strike the right balance between satisfying specific, objective criteria for immediate needs while taking a wider perspective of longer-term goals and shared values.

NAPFA names Leslie Stokes interim CEO
PRACTICE MANAGEMENT OCT 25, 2022
NAPFA names Leslie Stokes interim CEO

Stokes replaces current CEO Geoffrey Brown, who is ending his tenure Nov. 15.

Fidelity will pay for undergraduate degrees of its customer service reps
PRACTICE MANAGEMENT OCT 25, 2022
Fidelity will pay for undergraduate degrees of its customer service reps

Entry-level employees working at the company's regional call centers are eligible for the program, which will fully pay for tuition, books, fees and taxes.

Finra develops searchable rulebook to help brokerages navigate compliance
PRACTICE MANAGEMENT OCT 25, 2022
Finra develops searchable rulebook to help brokerages navigate compliance

How well the system works will depend on the quality of the taxonomy, a compliance expert said.

UBS points to financial adviser hiring in reporting results
PRACTICE MANAGEMENT OCT 25, 2022
UBS points to financial adviser hiring in reporting results

The bank added that it had a 'strong quarter' in financial adviser recruitment in the Americas but gave no details in its earnings information.

Reimagine retirement by focusing on 'future self,' new book urges
RETIREMENT PLANNING OCT 25, 2022
Reimagine retirement by focusing on 'future self,' new book urges

Eric Weigel suggests figuring out what type of life you want to lead and then working backward to the steps you need to take to close the gap between where you are today and where you want to be in the future.

Find women where they are to win midlife talent
PRACTICE MANAGEMENT OCT 25, 2022
Find women where they are to win midlife talent

With millions of women in a great career reset, this industry has a once-in-a-generation opportunity to introduce itself to women looking for something different, better and sustainable.

What women clients want
PRACTICE MANAGEMENT OCT 25, 2022
What women clients want

A recent study suggests the wealth management industry left $14 billion of potential revenue on the table last year by failing to tailor its products and services to women.