Topic: The Practice
Technology
-
August 14, 2018FAs Increasingly Turn to Fintech for Financial PlanningAdvisors are using multiple tools for various needs and adoption varies from one firm to the other.No Comments
-
August 8, 2018What UBS Fight With Bloomberg Over Client Data Means for FAsSome advisors hear echoes of their own struggles with data suppliers.No Comments
-
August 8, 2018Merrill Lynch Brings on FactSet as Primary Market Data ProviderThe wirehouse is also integrating FactSet’s data feeds into internal as well as client-facing platforms.No Comments
-
August 3, 2018Measure Twice, Cut OnceDon’t assume software results are accurate when you are preparing to present to clients.No Comments
-
August 3, 2018How Many Millions AUM Do RIAs Need to Remain Competitive?It’s a trick question, according to one study.Last Comment: August 3, 2018
2 Comments
Fees and compensation
-
August 15, 2018IRS Likely to Favor Insurance Agents over Wealth Planners and Retirement AdvisorsA new draft proposal would exempt insurance agents from some deduction limits that advisors and wealth planners would face.No Comments
-
August 15, 2018Ex-Morgan Stanley FA Scores $140K Win Against WirehouseA Finra arbitration panel has ordered the firm to pay the legal fees and costs of a broker it fired in 2013.No Comments
-
August 14, 2018Why Many Women Don’t Know They Want to be Financial AdvisorsCommentators point to a reputation problem for the industry and gender biases in workplace practices.Last Comment: August 14, 2018
1 Comment -
August 14, 2018Raymond James' Big Secret to Luring FAs from RivalsFlexibility and less pressure to push products are key to attracting advisors from rivals, says one Raymond James executive.No Comments
-
August 14, 2018AssetMark Brings on $5.7 Billion Firm With 300 AdvisorsFlorida-based Global Financial Private Capital has more than 300 advisors.No Comments
Staffing and recruiting
-
August 15, 2018"Defamed" and "Disgusted" Ex-Merrill Lynch FAs Fight Back in Court and Claim VictoryIn an unusual move. Merrill Lynch agreed to a settlement and allowed the former advisors to transmit a tombstone letter to clients.Last Comment: August 15, 2018
2 Comments -
August 15, 2018Barred Advisor: Parallel Investigations Ruined My LifeA former Morgan Stanley financial advisor alleges government regulators timed their investigations to destroy her life.Last Comment: August 15, 2018
1 Comment -
August 15, 2018Ex-Morgan Stanley FA Scores $140K Win Against WirehouseA Finra arbitration panel has ordered the firm to pay the legal fees and costs of a broker it fired in 2013.No Comments
-
August 14, 2018Why Many Women Don’t Know They Want to be Financial AdvisorsCommentators point to a reputation problem for the industry and gender biases in workplace practices.Last Comment: August 14, 2018
1 Comment -
August 14, 2018Raymond James' Big Secret to Luring FAs from RivalsFlexibility and less pressure to push products are key to attracting advisors from rivals, says one Raymond James executive.No Comments
Regulatory/legal issues
-
August 15, 2018"Defamed" and "Disgusted" Ex-Merrill Lynch FAs Fight Back in Court and Claim VictoryIn an unusual move. Merrill Lynch agreed to a settlement and allowed the former advisors to transmit a tombstone letter to clients.Last Comment: August 15, 2018
2 Comments -
August 15, 2018Barred Advisor: Parallel Investigations Ruined My LifeA former Morgan Stanley financial advisor alleges government regulators timed their investigations to destroy her life.Last Comment: August 15, 2018
1 Comment -
August 15, 2018IRS Likely to Favor Insurance Agents over Wealth Planners and Retirement AdvisorsA new draft proposal would exempt insurance agents from some deduction limits that advisors and wealth planners would face.No Comments
-
August 15, 2018Ex-Morgan Stanley FA Scores $140K Win Against WirehouseA Finra arbitration panel has ordered the firm to pay the legal fees and costs of a broker it fired in 2013.No Comments
-
August 14, 2018Why Many Women Don’t Know They Want to be Financial AdvisorsCommentators point to a reputation problem for the industry and gender biases in workplace practices.Last Comment: August 14, 2018
1 Comment
Succession planning
-
August 14, 2018AssetMark Brings on $5.7 Billion Firm With 300 AdvisorsFlorida-based Global Financial Private Capital has more than 300 advisors.No Comments
-
August 13, 2018Stifel Reshuffles Top Ranks, Nabs FAs from Wells Fargo and AmeripriseCompany tasks current CFO with overseeing global wealth management business.No Comments
-
August 3, 2018Focus Financial Partners Buys Big Regional RIA OutrightEdge Capital Partners manages $3.5 billion.No Comments
-
August 1, 2018Why RIA M&A Deals Have PlummetedThe number of mergers and acquisitions in the space dropped from a record-setting 49 to 14.No Comments
-
July 31, 2018How to Win Better Terms When Joining Broker-DealersFinancial advisors can often negotiate on a number of fees and charges.No Comments
Marketing
-
August 15, 2018"Defamed" and "Disgusted" Ex-Merrill Lynch FAs Fight Back in Court and Claim VictoryIn an unusual move. Merrill Lynch agreed to a settlement and allowed the former advisors to transmit a tombstone letter to clients.Last Comment: August 15, 2018
2 Comments -
August 14, 2018Why Many Women Don’t Know They Want to be Financial AdvisorsCommentators point to a reputation problem for the industry and gender biases in workplace practices.Last Comment: August 14, 2018
1 Comment -
August 14, 2018Raymond James' Big Secret to Luring FAs from RivalsFlexibility and less pressure to push products are key to attracting advisors from rivals, says one Raymond James executive.No Comments
-
August 14, 2018As Wirehouse Branding Advantage Weakens, RIAs Become More AttractiveFinancial advisors contemplating independence, meanwhile, can tap consulting firms to help with branding and marketing.Last Comment: August 14, 2018
2 Comments -
August 13, 2018Stifel Reshuffles Top Ranks, Nabs FAs from Wells Fargo and AmeripriseCompany tasks current CFO with overseeing global wealth management business.No Comments
