The latest in Financial Advisor research and tools that can help your practice.
WMIQ provides unparalleled access, intelligence and understanding of the wealth management market.
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.
Mark Schlafly, president and CEO of FSC Securities, has suddenly resigned from his position at the AIG Advisor Group broker-dealer because of a family medical emergency, an industry source familiar with the situation told Registered Rep.
Mutual funds with good stewardship—fund companies that regard their investors more like partners than “other people’s money”—are more likely to deliver good risk-adjusted returns and have higher survivorship rates...
U.S. Trust recently told its advisors they had to repudiate the broker protocol for recruiting in writing. Will other firms follow? Here’s a refresher so you know what the protocol does and does not protect when you seek a new home for your...
Securities America has made “substantial progress” in its mediation with plaintiffs’ attorneys involved in class action suits against the independent broker/dealer, said spokeswoman Janine Wertheim, in an email.
Securities America met with plaintiff’s attorneys on Thursday to negotiate a resolution to investor claims against the company related to its sale of allegedly fraudulent private placements. The outcome of the mediation was unknown at press...
Despite increasing turmoil around the world, high-net-worth investors in the U.S. remained confident in the economy and the stock market, according to Phoenix Marketing International’s latest tracking survey.
Just two months after it announced the acquisition of three RIAs with $2.2 billion in combined assets, United Capital said today it has bought another practice, Vantage Point Advisors.
Securities America is just the latest broker/dealer to face financial distress. With so many firms falling into financial or legal hot water lately, financial advisors need to be prepared for the worst. Here’s a checklist for your Plan B.
