Staffing / Personnel
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Brokers, advisers facing uphill battle in finding new recruits
Attrition, retirement combine to keep reducing the number of active advisers. Is there fresh blood set to be injected into the workforce, or will this reduction continue?
Adviser numbers will continue to slide: Cerulli
Financial adviser and IBD headcounts continue to shrink as training can't catch up with the drain of talent. But how's the rest of the business faring?
Making their way in a man's world
Demand for female financial advisers is strong, but the job's attraction undeniably is weak.
Hurdles to growth
A new survey of college-educated women found a variety of reasons why more are not interested in becoming financial advisers.
UBS elevates Mathews to oversee ultra high-net-worth business
Former regional director replaces Chandler, who will run wealth management.
Armond Dinverno builds a winning team
The co-founder and co-chief executive of a large and growing private-wealth-management firm shares the structure of his advisory group.
Using incentive compensation to motivate advisers — and other staff members
Incentives and bonuses can encourage greater commitment to business development, and not just for those bringing in assets.
More positions to choose from — and fill — in the modern advisory firm
Although many small businesses in the industry begin with a sole planner and maybe an administrative assistant, some expand far beyond.
Raymond James cuts 160 staffers, no advisers
Raymond James Financial Inc. has cut 115 jobs from its home office staff in St. Petersburg, Fla., and another 45 nationally in an “unprecedented” round of layoffs in the wake of its acquisition last year of Morgan Keegan & Co. Inc. The two firms finished the consolidation in February, leading to
Dodd, Frank to deliver keynote at MarketCounsel summit
MarketCounsel, a business and regulatory consulting firm to independent investment advisers, announced today that former Senate Banking Committee Chairman Christopher J. Dodd, D-Conn., and former House Financial Services Committee Chairman Barney Frank, D-Mass., will deliver a joint keynote address
Hey Yahoos, telecommuting not too popular with advisers, either
Despite tech tools, home workers lack camaraderie, ability to meet clients.
B-Ds' parent raises cash, shakes up management
National Holdings Corp. said on Friday it completed raising capital and has closed on an $8.8 million private offering of common stock to a group of unnamed investors. The new round of fund raising eliminates all outstanding debt and capitalizes the operation for growth, the company said in a press
Survey reveals how to keep workers happy
Flexible schedules encourage employee loyalty, poll finds; what about nap rooms?
0 27 InvestmentNews qualified firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of Nov. 1. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after Jan. 1, (2) total AUM is at
Get your X's and Y's down now, advisers told
Aging advisers need to start planning for the next generation of advisers and clients, Tom Nally, president of TD Ameritrade Institutional, said today at the firm's fall regional conference in Dana Point, Calif.“The demographic and generational shift should be front and center,” Mr. Nally told more
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Mary Beth Franklin, InvestmentNews
Davis D. Janowski, InvestmentNews