Topic: The Practice
Technology
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October 18, 2018Fintech Firm Unveils Tool for FAs to “Combat Robo Advisor Threat”It’s a compliance-ready auto-synching communications tool.No Comments
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October 18, 2018How HSBC Thinks Rolling Out a Robo-Advisor Will Bolster its Wealth Management FootprintThe bank is partnering with fintech firm Marstone for the digital advice platform.No Comments
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October 15, 2018Advisor Moves: Wells Fargo, LPL, EP Wealth, and MoreThe latest advisor moves and acquisitions.No Comments
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October 11, 2018Vanguard CEO Has Strong Opinions on the Robo Versus Human Advisor BattleTechnology will raise the quality of advice, says Tim Buckley.No Comments
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October 10, 2018Why Morgan Stanley Hired WeWork and Gensler For a Big Millennial MakeoverThe wirehouse is trying to attract a “more dynamic, millennial kind of workforce.”No Comments
Fees and compensation
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October 18, 2018Why Value-Add Retirement Services Trump Pressure to Slash FeesThe race to the bottom has already occurred, unless the advisor has been completely asleep at the wheel, says one FA.No Comments
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October 18, 2018Wells Fargo Loses Yet Another Team to This RivalThe advisors oversaw close to $240 million at Wells Fargo.No Comments
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October 18, 2018How Carson Group Landed $1.2 billion in Committed Assets Last QuarterThe firm has brought on a dozen new firms.No Comments
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October 17, 2018Brand New RIA Explains Billion-Dollar GrowthThey say they're creating better alignment among the client, the advisor, and the firm.No Comments
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October 17, 2018Here Are PNC Bank's Big Plans for Its Wealth Management UnitThe bank intends to invest in technology, recruit more advisors and tap into its network of retail bank clients.No Comments
Staffing and recruiting
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October 18, 2018Wells Fargo Could Face Class Action Suit Over Deferred CompensationThe advisor, who started his own independent wealth practice, claims Wells Fargo owes him $200,000.No Comments
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October 18, 2018Wells Fargo Loses Yet Another Team to This RivalThe advisors oversaw close to $240 million at Wells Fargo.No Comments
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October 17, 2018Brand New RIA Explains Billion-Dollar GrowthThey say they're creating better alignment among the client, the advisor, and the firm.No Comments
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October 17, 2018Here Are PNC Bank's Big Plans for Its Wealth Management UnitThe bank intends to invest in technology, recruit more advisors and tap into its network of retail bank clients.No Comments
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October 17, 2018Ladenburg Thalmann Launches New Initiative to Prepare Female FAsThe financial services firm has launched a program that connects female business students with financial advisors.No Comments
Regulatory/legal issues
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October 18, 2018Wells Fargo Could Face Class Action Suit Over Deferred CompensationThe advisor, who started his own independent wealth practice, claims Wells Fargo owes him $200,000.No Comments
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October 18, 2018Wells Fargo Loses Yet Another Team to This RivalThe advisors oversaw close to $240 million at Wells Fargo.No Comments
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October 17, 2018These Are the Most Pressing Retirement Issues for Retirement Plan AdvisorsOne big challenge is proper draw-down solutions.
Transcript Video [ 3:08 ] No Comments -
October 16, 2018Why Credit Suisse Was Ordered to Pay Ex-Broker Almost $1 MillionThe award was substantially smaller than the broker had sought.No Comments
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October 16, 2018Ex-Morgan Stanley FA Barred After 50-Plus Years in IndustryExcepting his final employment separation, the broker had no other disclosure events since starting in 1965.No Comments
Succession planning
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October 17, 2018Ladenburg Thalmann Launches New Initiative to Prepare Female FAsThe financial services firm has launched a program that connects female business students with financial advisors.No Comments
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October 9, 2018Broker-Dealers Must Measure and Reward Diversity GoalsThese CEOs say they set the tone from the top.Last Comment: October 9, 2018
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October 4, 2018Is Morgan Stanley Really Serious about Advancing Women FAs?Morgan Stanley has highlighted its female managing directors but wirehouses have a habit of paying lip service to equality, says key lawyer.No Comments
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October 4, 2018Retired UBS Advisor’s Bankruptcy Case Raises Big Worry About Industry PayoutsThe wirehouse wants to keep its money to pay off an old loan to the advisor.No Comments
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October 4, 2018Mather Group Acquires Berman Advisors, Forming $2.8 Billion Advice FirmThe acquisition expands the Mather Group’s presence in San Francisco Bay Area.No Comments
Marketing
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October 18, 2018Why Value-Add Retirement Services Trump Pressure to Slash FeesThe race to the bottom has already occurred, unless the advisor has been completely asleep at the wheel, says one FA.No Comments
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October 18, 2018How Carson Group Landed $1.2 billion in Committed Assets Last QuarterThe firm has brought on a dozen new firms.No Comments
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October 18, 2018Fintech Firm Unveils Tool for FAs to “Combat Robo Advisor Threat”It’s a compliance-ready auto-synching communications tool.No Comments
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October 17, 2018Brand New RIA Explains Billion-Dollar GrowthThey say they're creating better alignment among the client, the advisor, and the firm.No Comments
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October 17, 2018Here Are PNC Bank's Big Plans for Its Wealth Management UnitThe bank intends to invest in technology, recruit more advisors and tap into its network of retail bank clients.No Comments
