In this section we present key findings and insights from our survey questions on practice management and operations, including services offered, the most time-consuming activities, professional designations, custody relationships and documentation trends.
What a heck of a summer. In August, Mr. Market behaved like a schizophrenic. Such volatile conditions, no doubt, cool clients’ ardor for risk. For most, the challenge of merely keeping their clients calm takes precedence over seeking greener...
Considered a win for independent broker/dealers and their advisors, the California state Senate passed a bill Thursday night that tightens rules governing independent contractor status but omits onerous paperwork requirements. The bill now moves...
Seven broker/dealers have signed on this week with software provider Erado to launch interactive social media initiatives for their financial advisors. The new b/ds, represent about 5,000 reps.
Charlotte Beyer has been a trailblazer in the wealth management business before the phrase “wealth management” was even being used.
In 1991, the then 43-year-old financial services executive founded the Institute for Private Investors as a peer...
Advisors who reached out to investors during the August market turmoil say they found a less panicked clientele than in 2008. Warning: The longer market volatility lasts, the less tolerant clients will become.
