Registered Investment Advisers (RIA)
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Prepare to be ripped off
The broad investing public isn't exactly riveted by the controversy surrounding the so-called “fiduciary standard,” but they should be.
What hurt LPL's recruiting recently? Old Man Winter
LPL Financial has suffered a recruiting slowdown in the first quarter and puts part of the blame on an unusual factor — this winter's rough weather.
An adviser's toughest job: Telling a client the truth
Yahoo recently posted an article about the oldest living person in the world, a smiling 116-year old great-great-grandmother living in a retirement home for the last 18 years. Her surviving children are 92 and 94. It made me think about the worst conversations we can ever have with a prospective
Bank executives adopting the RIA model as they build wealth units, Fidelity study finds
Fastest-growing units are turning toward fee-based investment and planning advice.
RIAs lead the way in M&A as roll-ups step back: Schwab
Registered investment advisory firms were the biggest acquirers among wealth management practices last year, displacing an increasingly selective set of roll-up firms, according to data released Tuesday.
Cantor Fitzgerald makes big splash in wealth management with First Commonwealth deal
Renowned trading firm strikes a deal to acquire a bank-owned RIA with more than $2 billion in assets. And it's not finished. Here's what Cantor is looking for.
Selling the least profitable part of your wealth management business
Selling smaller client relationships allows advisers to slow down but stay in the game a little longer. It's not easy but more are taking the plunge.
Why customer service reps are the backbone of your firm
When it comes to building your advisory practice, Scott Hanson says that you'll greatly accelerate your growth by partnering with highly trained customer service representatives.
Breakaway consultant eyes new wirehouse targets
Sanctuary's Jeff Spears says independents need to become more sophisticated to attract top teams.
Creating a careful work/play balance
But this stark contrast between business and structured enjoyment reveals something really important about the culture in which we operate.
Advisers' enemy: Time management
Firm owners need to learn to delegate tasks and take advantage of workflow efficiency.
Largest fee-only RIA's fourth-quarter profit shot up 43%
Strong markets, sticky assets and solicitation of an aging workforce are giving retirement account managers something to crow about. Financial Engines Inc., the largest managed-account provider for defined-contribution plans by assets, increased its profits by 43.1% in the fourth quarter of last
SEC's Mary Jo White's top priority: uniform fiduciary standard
Pushing her colleagues to decide whether to propose a regulation to raise investment advice standards for brokers, the SEC chairman called the uniform fiduciary standard 'a primary, immediate focus.' (See what Mark Cuban had to say.)
The adviser of the future: 3 trends of tomorrow
The future of business is being determined at breakneck speed. Joe Duran says that the companies of tomorrow are tapping into a few deep-seated human desires today.
SEC unveils plan to investigate never-before-examined RIAs
The Securities and Exchange Commission on Thursday revealed new details about its plan to inspect registered investment advisers who have never previously been examined. “The Never-Before Examined Initiative includes two distinct approaches: risk assessment and focused reviews,” according to a
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February 27, 2014