Most Recent Blog Posts

Feb 04, 2014

RIA Advocate to Resign as Head of IAA

Long-time RIA advocate David Tittsworth will resign from his post as executive director of the Investment Adviser Association in early 2015....More
Jan 30, 2014

Investment Management Is Not a Differentiator

You can pretend that your asset management and portfolio construction is different from other advisors. But don't bet the firm on it....More
Jan 28, 2014

B/Ds Look to Advisory Business to Improve Margins

IBD executives at FSI's OneVoice conference say they have found a surefire way to boost their profit margins—by expanding their fee-based business....More
Jan 27, 2014

Convergent Founder Teams Up with Carson Wealth

Steve Lockshin, founder and chairman of top RIA firm Convergent Wealth Advisors, has joined the executive board of competitor Ron Carson’s firm,....More
Dec 13, 2013

Safeguarding Client Data a Must for Advisors

  Cyber crimes are pervasive these days and advisors especially are under siege from criminals looking to gain access to client funds. At....More
Dec 11, 2013

Investment Advisors up Against Odds with Future Rules

Investment advisors could be looking at a future filled with broker-type rules and FINRA oversight, according to a panel in a somewhat gloom....More
Dec 05, 2013

Former TDA Exec Joins Vestorly

Former TD Ameritrade Institutional managing director Zohar Swaine has joined Vestorly, a digital content sharing platform, as strategic advisor and....More
Nov 13, 2013

Former Schwab Advisors Protest Termination Policy at IMPACT

A small group of former Schwab independent advisors protested the firm’s termination policy earlier this week outside of the firm’s annual IMPACT....More
Nov 12, 2013

Live from IMPACT: Five Ways to Be a More Effective Seller1

We're all in sales now, says author Dan Pink at Schwab's IMPACT conference. So here are five ways to be a more effective salesperson....More
Oct 30, 2013

Ameriprise Headcount Down Amid Record Profitability

Ameriprise's advisor headcount is down on a sequential and annual basis, but its advice and wealth management is still dominating the firm's growth....More
Oct 20, 2013

The $5 Trillion Opportunity for RIAs

The private defined contribution market is largely a market that is untapped by financial advisors, yet it’s projected to grow 5.85 percent by 2020,....More
Oct 02, 2013

Expect Another Deal From Schorsch in the Next Couple Weeks

Nicholas Schorsch, head of American Realty Capital and the fast-growing RCS Capital Corporation (RCAP), plans to announce another acquisition in the....More
Sep 26, 2013

Want to Get to $1 Billion? Hire an Associate Advisor, COO

Firms that hire an associate advisor and a dedicated manager earn more and grow their client base faster, according to an analysis by TD Ameritrade....More
Sep 25, 2013

It's Official: RCAP's Schorsch Owns First Allied

After announcing the big plan earlier this summer to much fanfare, it's official: American Realty Capital's Nick Schorsch has acquired independent....More
Sep 05, 2013

Advisor Group Chief Jumps Ship

Larry Roth, head of AIG’s Advisor Group, a network of 6,000 advisors, has jumped ship to Realty Capital Securities, the broker/dealer and wholesale....More
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