America's Top Independent Brokerages
America's Top Independent Brokerages
Jun 02, 2011
With the breakaway broker debate raging, and smaller independent b/ds imploding all over the place, we launched our first Independent Broker/Dealer Report Card survey.
The Doomsday Scenarios
The Doomsday Scenarios
Jun 01, 2011
The last decade has seen both the tech wreck and the housing bubble burst, leaving greater skepticism about financial institutions and a deeper interest in identifying “bubbles” amongst both the professional and investing public...
The Secrets of Successful Intimate Client Events
Jun 01, 2011
Boston: “My clients don’t seem to want to bring any of their friends to my client events,” Randy complained at our recent rainmaker retreat. He then proceeded to tell us about the series of small events he’s held that were...
Smaller RIA Buyers Gather Steam
Smaller RIA Buyers Gather Steam
Jun 01, 2011
Buyers of RIAs are increasingly other RIAs, instead of larger roll-up operations that once were prominent players in M&A activity, according to Real Deals 2010, a report by Pershing Advisor Solutions and FA Insight.
Wealth Management Business Booming, but Pricing Practices Questioned
May 31, 2011
The global wealth management business has climbed to record highs, but pricing continues to be an Achilles ’ heel for the industry, according to a widely anticipated new study from The Boston Consulting Group released yesterday (Tuesday, May...
FAA Reorganizes Senior Execs to Focus on Recruiting
FAA Reorganizes Senior Execs to Focus on Recruiting
May 27, 2011
Independent broker/dealer Financial Advisers of America has reorganized its senior management to support the firm’s growth and allow senior executives to focus on recruiting advisors. The firm’s former CEO Ken Johnston is now chairman...
Gift Tax Exemption Jumps, But Not Everyone’s Feeling Generous
May 27, 2011
It’s an opportunity that ultra-high-net-worth households in the United States have never seen before—the chance to give away up to $5 million over the course of their lives, tax-free. Yet a good number of them are passing it up, some...
Take a Vacation Without Losing Clients—or Your Head
Take a Vacation Without Losing Clients—or Your Head
May 27, 2011
Not long ago, Chad Nehring did something he hadn’t done for 12 years: He took a real vacation. Although Nehring runs his Appleton, Wis.-based practice, Conceptual Financial Planning, with a partner, he bears most of the responsibility for...
Coming Into Money: Advisors Should Anchor Clients
Coming Into Money: Advisors Should Anchor Clients
May 26, 2011
Clients that have just come into new money—bequests, lottery jackpots, lawsuit settlements, among others—can provide a challenge for financial planners, but it’s up to advisors to anchor these clients and keep them stable, said...
Morgan First On Wall Street to Crack Social Media Code
May 25, 2011
Morgan Stanley is in the process of testing a pilot program that would allow its financial advisors to interact with clients and others on social media websites Twitter and LinkedIn through pre-approved public updates and private LinkedIn emails...
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