Client Servicing

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    Exclusive: TD offers refunds to managed-accounts customers with losses

    The firm's retail advisory service is offering full refunds of fees to new managed-account customers whose investment portfolios decline in value.

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    Is fear stunting your growth?

    If you had no fear, would you be running your business and living your life exactly the way you are today? The following chart will help you determine just how much fear rules you. Take a look at the two columns.How many “Fearful” items describe you? (function(d){ var js, id="pikto-embed-js",

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    When tribal knowledge is a threat

    "Knowledge is good” was the motto of fictional Faber College in the iconic 1978 film “Animal House.” Not even Delta Tau Chi troublemaker John Blutarsky could argue with the simple truth of the Faber motto, although he didn't acquire much of it during his seven years there.

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    Organic growth is key to $4.8B firm's success

    Ballentine Partners is among the fastest-growing RIAs in the country, and it's one of the few that has built its business organically and without relying on institutional clients to juice its assets.

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    Why separately managed accounts are undergoing a rebirth

    A class of products that have been around for a long time are undergoing a rebirth: separately managed accounts, or SMAs.

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    Advisers still struggle to attract women, IN survey shows

    Women are focused on retirement issues, yet advisers don't always get their messages across.

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    Adviser movement heats up the dog days of summer

    This week's top InvestmentNews stories feature an LPL exec's exit, potential pitfalls for brokers changing jobs, a flurry of adviser moves and a high-profile lesson in trust planning.

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    Financial Telesis adviser with $700M bolts to Commonwealth

    A Financial Telesis Inc. adviser with $700 million in assets under management has bucked LPL Financial's recruiting and signed on with Commonwealth Financial Network.Benjamin W. Wong, who runs an eponymous financial planning firm in Pleasanton, Calif., has joined the custody and clearing firm with

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    Wealthfront deal with 49ers is a big marketing score

    Deal with the NFL franchise enhances the cachet of the fast-growing online advice upstart.

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    Ready to engage robo-shields. Make it so.

    Report recommends advisers reconsider fees and boost client experience in battle with robo-advisers.

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    How will LPL's new tech platform measure up against the competition?

    Questions remain about whether ClientWorks will be on par with other third-party open architecture platforms for advisers.

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    Rethinking succession planning by putting clients first

    When it comes to succession planning, we are seeing positive changes in the advice profession. According to our research, more firms have written succession plans than in years past, and importantly, more firms are focused on how thoughtful succession and continuity planning can serve as an ...

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    Maintaining success in an increasingly competitive industry

    This is an excerpt from the executive summary of the 2014 InvestmentNews Financial Performance Study of Advisory Firms. To preorder the full study (available in September), click here.

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    Advisers arming themselves against cyberattacks

    Ensuring all employees know the drill is key to avoiding a practice being compromised.

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    Larry Roth: Defining the next 10 years for independent broker-dealers

    Larry Roth, CEO of Cetera Financial Group, warns against consolidation at the expense of client and adviser relationships.