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The Investment Management Consultants Association announced Wednesday that its popular CIMA certification is now accredited by the American National Standards Institute (ANSI), making it the first of the major wealth management designations to...
Ameriprise Financial (NYSE: AMP) plans to sell its independent broker/dealer unit Securities America, according to the company’s first quarter earnings report released today. Meanwhile, the firm is still in the process of finalizing a...
In his new book, David Skeel argues that Dodd-Frank financial reform legislation fails to limit financial risk or prevent another too-big-to-fail crisis. Worse, it institutionalizes bailouts and leaves American finance less stable and more...
True, the prospect of litigating a case brought by the Securities and Exchange Commission or the Financial Industry Regulatory Authority against a b/d or advisory firm is not a pleasant one, and an automatic reflex may be to settle...
Because so much of our coaching involves helping advisors acquire more affluent clients, we're constantly asked the question, What does it take to become a rainmaker? In an effort to learn more, we conducted a focus group with elite rainmakers (an...
Financial advisors work countless hours helping clients plan their financial futures. But, unfortunately, too many advisors need help planning their financial futures. Today, only about 18 percent of independent advisors have a well-defined...
A new study on the growing economic power and financial needs of the Indian-American market, “No Longer Newcomers,” underscores the growing reliance on segmentation as a cornerstone of new business development by wealth managers.