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October 19, 2017

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State Fiduciary Laws Seen Adding to Chaos, Confusion

More states are expected to follow Nevada’s lead in fiduciary lawmaking.

How Slow Industry Growth Hurts Your Career Prospects

As revenue growth shrinks so do career development opportunities.

Commonwealth Picks Up National Planning Corp Team

The Advisor Group and Commonwealth nab advice practices previously affiliated with the National Planning Corp.

Why FAs Must Systematically Overcome Gender Bias

Failing to do so risks alienating female clients and prospects.

Opinion

How to Keep Clients Focused on the Long Term

What’s the biggest service advisors can provide clients in a maturing bull market?

ThinkTank: Latest Published Content

Buying Value in a Good Ol’ Bull Market
Smead Capital Management

Investing While Waiting for a Rising Interest Rate Environment
LM Capital Group

Small Caps Pick Up Speed
Alger

Topics

All Topics

The Client - Finding and winning new clients Half a Billion Dollar Merrill Lynch Team Takes Flight Merrill Lynch Has Won a Lot of New Clients Lately	The Client - Client retention Industry Groups Slam “Best Interest Standard” As Too Vague Half a Billion Dollar Merrill Lynch Team Takes Flight
The Client - ERISA plans/institutional management Fiduciary Legislature at the State Level Slows But Continues Judge Opens Way for the DOL Fiduciary Rule's Survival	The Client - Behavioral finance Industry Groups Slam “Best Interest Standard” As Too Vague It’s All in the Mind

The Assets - Portfolio management SEC Reveals Big Problems FAs Have With Best Execution It’s All in the Mind	The Assets - Insurance planning Soothing Clients’ Terror About Health Costs in Retirement
The Assets - Estate planning FAs Aren’t Talking to Clients About What Clients Want to Discuss FAs Expect More Controversies Like Marvel Icon Stan Lee’s Senior Abuse Woes	The Assets - Tax planning All Special Designations Aren't Created Equal: How to Tell the Significant from the Suspect FAs Aren’t Talking to Clients About What Clients Want to Discuss

The Practice - Technology Finra’s Cloud Tech Helps It Process 58 Billion Records Daily LPL Loses $1.3 Billion RIA to TD Ameritrade	The Practice - Fees and compensation Industry Groups Slam “Best Interest Standard” As Too Vague Ameriprise Loses $120M Team to Commonwealth Half a Billion Dollar Merrill Lynch Team Takes Flight
The Practice - Staffing and recruiting Half a Billion Dollar Merrill Lynch Team Takes Flight Ameriprise Loses $120M Team to Commonwealth	The Practice - Regulatory/legal issues Should RIAs Be Subjected to Broker-Like Licenses With Continuing Education Requirements? CFA Will Examine FAs On Cryptocurrencies and Blockchain

1	Merrill Lynch Has Won a Lot of New Clients Lately
2	Morgan Stanley Complex Manager Leaves Firm After Harassment Claims Against FAs
3	Finra Bars Former FA Accused of Churning
4	Fired Merrill Lynch FA Starts Indie Practice
5	How the Fastest-Growing RIAs Are Gaining New Clients

1	How the Fastest-Growing RIAs Are Gaining New Clients
2	Wells Fargo Wealth and Investment Income Slips 37% in Q2
3	SEC Reveals Big Problems FAs Have With Best Execution
4	Fired Merrill Lynch FA Starts Indie Practice
5	Wirehouse Leavers Say Smaller Firms Make For Better Client Service

1	How the Fastest-Growing RIAs Are Gaining New Clients
2	From Breaking to Building: How FAs Break from Wirehouses and Build Their Own Firms
3	Wells Fargo Wealth and Investment Income Slips 37% in Q2
4	Fired Merrill Lynch FA Starts Indie Practice
5	Raymond James Loses NY Rep to Snowden Lane

S	M	T	W	T	F	S






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October 19, 2017

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