Staffing / Personnel

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  1. Articles

    Independent advisers' growth is slowing

    Competition for new clients is increasingly fierce, InvestmentNews study finds, and top-performing firms are taking decisive action.

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    How to build a 401(k) business from scratch

    Advisers have poured into defined-contribution territory over the last several years. Before the 2008 recession, approximately 150,000 out of 300,000 active financial advisers were getting paid for services provided to a DC plan, according to figures from The Retirement Advisor University. That

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    The makeup of independent advisory firms has fundamentally changed

    Employee advisers now outnumber firm owners at independent advisory firms — but warning signs persist.

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    Adviser's Consultant: What it takes to retain women advisers

    Brittain Prigge of Balentine shares her firm's success in cultivating a staff in which female advisers make up the majority.

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    Ohio firm's secret – go where the clients are

    Ohio firm Carnegie Investment Counsel's move to the suburbs increased productivity and convenience for clients, according to Gary P. Wagner, a principal of the firm and its chief operating officer.

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    Avoid assumptions when forming partnerships

    Discussions that evade specificds and include a large number of presumptions can doom a partnership to failure from the get-go.

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    Five tips to add fee-based advisory work

    For commission-based advisers considering the addition of fee-based advisory services, it's important to prepare for the many activities that such a move entails. It doesn't happen overnight, nor with the flip of a switch.

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    From the ranch to Wall Street: Lessons from a serendipitous career journey

    LPL Financial's chief risk officer offers five principles that helped her manage her career to unexpected opportunities.

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    Use exit interviews to ensure employees are happier than Amazonians

    Ask departing employees certain questions to uncover bad morale or other issues

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    Serving the super-wealthy requires extra-special service

    Our latest in the 'Adviser's Consultant' series features tips from Constellation Wealth Advisors CEO Paul Tramontano.

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    Michael Kitces' weekend reading for financial advisers

    A wrap-up of the Labor Department's fiduciary hearings, analyzing how much income retirees really need, and the rest of the week's must-reads for advisers.

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    The psychology of regulation: applying nudge theory to compliance

    Nudge theory and the rise of advanced technology promise new methods for advisory firms to fight the good fight in a world where the dangers of non-compliance have never been greater.

  11. Articles

    I'm a salesperson. You should be, too.

    Being able to persuade people to do what you really believe is in their best interests is very important.

  12. Articles

    Michael Kitces' weekend reading for financial advisers

    Pimco gets put on notice, the latest twist in the CFP Board-Camarda battle, and the rest of the week's must-reads for advisers

  13. Articles

    Michael Kitces' weekend reading for financial advisers

    Analyzing the Camarda vs CFP Board dismissal, Schwab staffing up, and more adviser must-reads