Moving to another firm can be like entering a war zone—the biggest threat being client casualties.
The most successful firms are those that help advisors hang on to clients through the transition....More
In this excerpt from his book The Alternative Answer, Bob Rice argues that liquid alternatives have brought investment strategies previously reserved for the wealthiest investors to a broader market, and clients are better off for it....More
Every year, WealthManagement.com dusts off the crystal ball to come up with 10 individuals who we think will have the greatest impact on the industry over the next year. Expect to hear a lot more about these people and their organizations in the next 12 months.
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I have researched the boards with regard to Waddell and Reed, but everything is at leat two years old. Want to re-ask the question: How is Waddell and Reed for entry into the financial industry, specifically financial advising? I have been offered the job, but still have cold feet....More
I'm entertaining idea of leaving a big wirehouse to join a well known RIA. Obviously both have their pros and cons. I intend to stay in the business another 25 years and am curious to hear what others here think the future of the wirehouse model will be in say 10 years. What will happen to the 300k solo practicioners there? What will happen to the 2-3million production teams? What will the RIA landscape look like? What will the mass-hiring practices of the wirehouses look like down the road?
In April 2012, FINRA released Regulatory Notice 12-18, which features FINRA's proposed overhaul of the broker expungement process. The overhaul applies primarily to brokers who customers do not name as defendants to their FINRA lawsuits....More