Practice Management

Over the last 18 months there has been a significant shift in the “process” of recruiting in three different tiers of the world of wealth management. The wirehouses, regionals and hybrid RIA’s (think HighTower, Focus, Dynasty)...

What’s behind the lack of women in the industry and how we can get more in the ranks

Financial technology start-up OpenFin recently nabbed a $4 million round in venture capital in March. We talked with co-founder and CEO Mazy Dar about his plan to offer an alternative to desktop terminals like Bloomberg’s by allowing...

A looming advisor shortage and a limited pool of prospects means retaining advisors is the top job for many managers. Here's how to spot, and keep, talent on the brink of jumping ship.

For every fast-food television commercial featuring a supermodel eating a cheeseburger, on the back-end of that production is an army of analysts pouring over data. That’s because every bit as important as the actual creation of the...

In the last of a three-part series, Dr. Daniel Crosby examines why simplicity impacts the quality of the investment experience.

Under the RIA hybrid model, a financial advisor is affiliated with a broker-dealer for their commissionable business and conducts fee-based business through an outside RIA. Maintaining a broker-dealer affiliation allows advisors to provide clients...