Staffing / Personnel

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  1. Articles

    United Capital acquires $500M firm

    Texas-based Ellis & Ellis formerly was affiliated with Ameriprise Financial.

  2. Articles

    RIAs to control 28% of assets by 2018: Cerulli

    Dual registrants are a key driver of growth for the segment, which holds 20% of assets today, the research firm said.

  1. Articles

    Most advisory firms don't have a strategy for landing client referrals

    Only one out of every three firms have a formal referral process, despite referrals accounting for the lion's share of new business.

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    Young advisers go from learning to doing

    New employees have gained confidence, and are starting to work with clients

  3. Articles

    The more I learn about planning and taxes, the more interesting the job gets

    During the past five months at NorthWest Financial, I have learned a remarkable amount about all aspects of financial planning, from the technical side of concepts and strategies to the relationship essentials of connecting with clients and fellow employees. I have enjoyed my time very much and ...

  4. Articles

    A whirlwind of change — transitioning into the financial planning industry

    The last six months have been full of transition. The first wave of change was graduating from William Paterson University in New Jersey and accepting a job as an associate financial adviser with FJY Financial in Virginia. My emotions were mixed; I was thrilled to be offered an amazing job at a ...

  5. Articles

    When technology or outsourcing can help, and when it can't

    Advisers need to focus on mission-critical functions, such as meeting with clients and marketing.

  6. Articles

    The top-ranked fee-only U.S. RIAs by region

    Meet the leading RIA firms in the Northeast, South, Midwest and West, ranked by total assets

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    The most valuable thing an adviser can do for clients in 2015

    How to make 2015 'the year of the client' and set up advisory firms for sustained success

  8. Articles

    Tony Robbins gets advisers talking at the 2014 MarketCounsel Summit

    Independent advisers get a dose of inspiration as Tony Robbins continues to champion their cause

  9. Articles

    Four Convergent veterans depart for Presidio

    Decision by advisers, including an executive director of the ultrahigh-net-worth group, to leave the firm and join Presidio comes amid management changes.

  10. Articles

    It's time for transparency at the CFP Board

    Should be a transparent protocol for planners to follow when they disagree with the board's judgments.

  11. Articles

    San Diego: Sunny startup scene offers many opportunities

    One of the highest tax rates in the country also means tax advice opportunities are abundant

  12. Articles

    Convergent chairman resigns

    Steven Lockshin, the firm's founder, is stepping down from his role as chairman and will be replaced by Richard Gershen, the executive vice president of wealth management at City National, Convergent's parent company.

  13. Articles

    Next Financial Holdings' D'Angelo resigns as CEO, chairman

    One of the firm's six original principals, he will remain as a corporate director.