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Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Fiduciary Worries The Department of Labor is set to rule that brokers working with retirement accounts meet a fiduciary standard.   |
Investment Advisor
February 2009
Angela Herbers |
Advisor, Heal Thyself Good advice to advisors these days is that they revise their own financial plans. |
On Wall Street
July 1, 2010
Frances A. McMorris |
Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate. |
Financial Planning
August 1, 2007
Marshall Eckblad |
Advisor Pulse If a new survey is to be believed, advisors who help their clients with retirement planning -- and that's most of you -- will soon face a difficult choice: Change the way you service clients or watch your profits shrink. |
Investment Advisor
March 2008
Melanie Waddell |
Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines? |
Entrepreneur
June 2009
Asheesh Advani |
Put Your Advisory Board to Work It's time to rethink the roll of advisors and how they are compensated. |
Investment Advisor
January 2007
Savita Iyer |
DC Advisor-Sponsor Matchmaker The relative lack of corporate advisors is a result of inertia on the part of plan sponsors; despite pronouncing themselves dissatisfied with their retirement plans, plan sponsors do not take the easy step of finding a new advisor. |
Financial Advisor
April 2007
William Glasgall |
Why Marketing Works Over the years, many advisors, being analytical people at heart, have relegated marketing to a minor role behind crunching numbers for clients' financial plans and investment portfolios. Now, that attitude seems to be undergoing a long-needed change. |
On Wall Street
April 1, 2013
Lorie Konish |
Five Questions with Matt Matrisian The director of practice management at Genworth Financial offers advisors tips on avoiding common blind spots. |
Investment Advisor
September 2009
Philip Palaveev |
Tortoise or Hare Which business model is most acceptable to investors? And which to advisors? |
Financial Planning
June 1, 2008
Stacy Schultz |
More Than Equal A study of the role of the female financial advisor. The research compares female to male advisors and looks at the varying performance levels of women advisors. |
Registered Rep.
October 1, 2005 |
60 Seconds with Bill Carey (Head of Fidelity's RIA group) The former president of Fidelity's institutional retirement business and a 12-year veteran of the firm talks about his plans for the advisory unit and the challenges confronting advisors. |
Investment Advisor
June 2007
Kara P. Stapleton |
Consolidate and Refer Fidelity Investments introduced a report showing that advisors who offer retirement income planning services have found that their clients are more satisfied, consolidate more assets with them, and provide more referrals for new business. |
Registered Rep.
July 21, 2006
Kristen French |
Advisors Not Filling High-Net-Worth Retirement Needs, Survey Says Although few high-net-worth investors are prepared for the kind of retirement they expect, advisors continue to focus on wealth accumulation at the expense of long-term financial planning. |
Investment Advisor
February 2009
Kara P. Stapleton |
Stressed Out? It's no news that advisors are overwhelmed, considering the behavior of the markets and the state of the economy. |
Financial Planning
July 1, 2010
Marion Asnes |
Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken. |
Registered Rep.
December 4, 2012
Gallant & Schneider |
Are We There Yet? No, But FAs Can Help. In Search of Retirement Income Many advisors mistakenly believe that retirement income clients are a diminishing asset, not recognizing that these clients tend to consolidate investments and to be more loyal. |
Financial Planning
June 1, 2007
Kathy Gevlin |
Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction. |
On Wall Street
January 1, 2011
Steve Garmhausen |
DOL: Advice Rules To Get Tougher The Department of Labor is poised to toughen rules for consultants and advisors that serve retirement plans, as past industry practices have fallen under new scrutiny. |
CFO
July 15, 2011
Marielle Segarra |
A Feel for the Deal Companies with a long history of M&A may want to think twice before acquiring again; a new report finds that on average, serial acquirers create less value during deals than infrequent acquirers. |
Financial Planning
September 1, 2007
Ray Sclafani |
The Future is in Retirement By helping clients envision later-life goals, You can build value in your practice. An exclusive conversation with coach Dan Sullivan. |
Investment Advisor
November 2009
Angela Herbers |
Marketing Is Everyone's Job Following are ideas for advisors to incorporate into their strategic marketing initiatives. |
Investment Advisor
January 2010
Melanie Waddell |
Retirement Planning: Retirement Income a Riddle Advisors are still searching for best method to deliver retirement income. |
Registered Rep.
June 30, 2010
Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. |
Investment Advisor
June 2010
Angela Herbers |
The Fast Track: American Standard Comp tables based on surveys of advisory firms won't help you find the right salary range for your firm if those firms are over- or underpaying. |
Investment Advisor
April 2009 |
Soapbox: How to Restore Trust If we want advisors to act in the best interest of clients, there should be a compensation system that offers them incentives them to do so. |
On Wall Street
October 1, 2010 |
Letters Most people think that health care reform will solve many of the problems facing retirees and people about to retire. Nothing could be further from the truth. Financial advisors need to be prepared to talk about health care costs. |
Investment Advisor
January 2007
Bob Clark |
The Trust Threat Financial advisors need to rethink adding trust services to their offerings. |
Financial Advisor
March 2012 |
Wirehouses Still King Of The Hill Despite headlines about breakaway brokers and the ascendency of the independent, fee-based advisory model, the Big Four wirehouses are still holding their own. |
Financial Planning
January 1, 2010
Donna Mitchell |
Articulate Your Value A majority of financial advisory clients have been very satisfied with the performance of their providers since the onset of the financial crisis and market meltdown, but almost 10% of clients are neutral or dissatisfied. |
Registered Rep.
November 5, 2012
Scott Smith |
Look Before You Leap The very benefits IBDs have used to lure advisors may actually be their undoing. |
Investment Advisor
January 2007
Ivanova & Kahler |
The ABCs Of Retirees To meet the needs of retiree clients, financial advisors will need to beef up their knowledge not only of investment-related retirement issues, but also non-investment areas. |
Registered Rep.
September 30, 2009
David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled. |
Registered Rep.
October 28, 2015 |
Live Oak Bank: Open Access Lending "The aging demographic of the investment advisory industry is severely under-financed. Live Oak Bank saw this as an opportunity to address an underserved need," said managing director Jason Carroll. |
Registered Rep.
December 4, 2012
Megan Leonhardt |
(No) Experience Necessary When it comes to being a financial advisor, the more experience -- the more years you have on you -- the better, right? Not quite. A new study shows that firms should be cautious when bringing aboard advisors heavy on experience. |
Registered Rep.
May 14, 2015
Megan Leonhardt |
LPL Incentivizes Hybrid RIAs to Bring Assets Over LPL Financial is offering its hybrid advisors up to $100,000 to shift their assets held elsewhere to LPL's advisory platforms, according to an internal communication sent to advisors Wednesday. |
Investment Advisor
September 2009
Lewis Schiff |
The Affluentialist: Building Retirement Portfolios Now Few advisors use a cookie cutter approach to retirement income support. |
Investment Advisor
October 2010
Mark Tibergien |
Friends in Need? You can use outside investors to help finance your advisory firm growth plans. |
On Wall Street
September 1, 2012
Elizabeth Wine |
Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business. |
Financial Planning
June 1, 2008
John J Bowen Jr |
Help From My Friends Here are some of the most important issues to consider when working with a financial institution. |
Financial Advisor
March 2012
Juliette Fairley |
More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans. |
On Wall Street
June 1, 2013 |
Fiduciary Standard Debate Heats Up As federal regulators move ahead with a pair of rulemaking proceedings that could dramatically reshape the financial advisory industry, advocates of broader fiduciary responsibilities are urging advisors to make their voices heard in Washington. |
Financial Advisor
May 2012 |
Advisors, Clients See Portfolios Differently Advisors say their clients are fixated more on shorter-term concerns such as one-year returns (54%), their portfolio's absolute returns (49%) and portfolio volatility (41%). |
Investment Advisor
February 2007
Savita Iyer |
Taking Advantage of the Pension Protection Act Financial advisors need to understand fully what the Pension Protection Act means and how it pertains to their business. |
Registered Rep.
October 6, 2015
Megan Leonhardt |
Advisors Working with Spouse See Success Among advisors working as part of a team, the most successful are husbands and wives, according to new research by PriceMetrix. |
Financial Advisor
September 2010
David Lawrence |
The Need For Simplicity How to prepare reports efficiently while keeping them understandable for clients. First in a two-part article on retirement issues for advisors. |
Investment Advisor
November 2009
James J. Green |
Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased. |
Investment Advisor
February 2010
Bob Clark |
Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession. |
Registered Rep.
May 3, 2007
Kevin Burke |
Fund Shareholders to Advisors: We Need Ya', Big Guy If you are among the mutual-fund only caste of advisors, don't lose heart: Investors really do need your advice. |
Investment Advisor
October 2010
Angela Herbers |
Show Yourself the Money Advisors need to learn to pay themselves first |
