Financial and investment blogs from the staff writers of WealthManagement.com.
What's Intelligent Advisor?
The quick hits of information you need to make you a smarter wealth manager.
What's Indie Advisor?
Indepedent Advisors Practices and Business.
What's Rulebook?
Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.
What's Yield of Dreams?
Casting a gimlet-eye on the independent broker/dealer channel and asset management issues.
Most Recent Blog Posts
Only three out of ten advisors believe their client onboarding is excellent, according to Darrin Courtney, research director at CEB Tower Group. And with many firms still working with piles of paperwork—10-14 pages of account opening forms, the 4...
The crisis of confidence among investors and the lack of financial literacy in the U.S. today are linked, CEO of Pershing Advisor Solutions said Thursday. But instead of relying on large organizations or regulators to fix these problems, he...
Are liquid alternative products really all that revolutionary to investors today? Five years ago, liquid alternatives had $40 billion in assets, today it’s over $300 billion, and they're predicted to hit $2 trillion in 5 to 10 years. So when do t...
Compliance and risk officers should keep in mind Ben Parker’s advice to his web-slinging nephew: “with great power comes great responsibility.” Following recent disciplinary actions against compliance officers, FINRA’s head...
Mark Haefele, formerly global head of investment, will take over as global Chief Investment Officer for UBS Wealth Management and UBS Wealth Management Americas, replacing Alexander Friedman.
Mark Haefele
In his new role, Haefele will overse...
The owner of two Chicago-based investment advisory firms is facing civil and criminal charges on Wednesday after authorities claim he operated a long-running, $11 million Ponzi scheme.
The Securities and Exchange Commission claims investment fun...
More advisors are investing in exchange traded funds and cash than they were eight years ago, while variable and fixed annuities are becoming less popular.
The Financial Planning Association’s 2014 Trends in Investing Survey found that nearly ei...
Call them what you will—robo-advisors, asset-allocators—online advice platforms may provide valuable services for smaller investors, but Raymond James’ Scott Curtis isn’t sold on the idea that these sites will gobble up a major market share.
“As...
Raymond James isn’t kidding around about cyber security. The firm is spending $212 million a year on technology, a "healthy percentage" of which is earmarked toward protecting advisors and their clients from online threats, according to the firm's...
