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Recent Stories From This Author
May 15, 2013
The average high-net-worth investor is changing and that spells a significant opportunity for advisors.
May 15, 2013
Women advisors are more risk averse than their male counterparts, and in the wake of the financial crisis, that has proven to be a good thing.
May 9, 2013
Technology innovations are critical for advisors to remain on the cutting edge and retain the next generation of clients.
May 9, 2013
“This is not an easy business,” Carson told an audience on Thursday of over 500 advisors at the 24th Peak Excell Meeting. “It is a rewarding but difficult business … and we have to constantly reinvest and reinvent.”
April 26, 2013
The practices, in Mercer Island, Wash., and Lynnwood, Wash., have a combined $549 million in assets under management.
April 24, 2013
Fidelity says the new desktop will enable the “anywhere advisor."
April 16, 2013
FINRA fined Merrill $1.05 million and ordered the firm to pay more than $323,000 in restitution for over 12,000 trades executed on its ML BondMarket platform.
April 12, 2013
After Fidelity warned that a fiduciary standard could have harmful ramifications, one reader has responded that "Wall Street is unleashing its attack dogs" to try to stop important new guidelines.
March 11, 2013
As RIAs compete with wirehouses and banks for the best talent, here are some things to keep in mind as you recruit top advisors.
March 6, 2013
The Insured Retirement Institute announced Wednesday that the IRI Marketing Summit was canceled due to winter storm Saturn.
February 28, 2013
Most advisors thinks they know everything they need to know about social media, but how saavy are you? Take this quiz and find out.
February 21, 2013
KeyCorp will sell its investment management arm, Victory Capital Management and its broker dealer affiliate, Victory Capital Advisers, to a group led by Victory’s senior management.
February 12, 2013
Clients expect 24/7 attention from their financial advisor, and advisors need to find the right technology tools to streamline their process while still managing to enjoy their life, home, hobbies and family.
February 12, 2013
To attract more independent advisors to its Windows 8 platform, Microsoft is in the process of developing complete “advisor in a box” solutions for RIAs.
February 11, 2013
Advisors don’t care about how technology platforms integrate, they just want something that is simple to use.
February 11, 2013
When Frank Patzke, the president of Guidant Wealth Advisors, met Barry Mulholland, an assistant professor at Texas Tech University, while waiting on line for lunch at last year’s Technology Tools for Today conference, neither had any idea how a chance encounter would shape Patzke’s business and Mulholland’s curriculum.
January 31, 2013
“If you want to make a client uncomfortable, you should ask them for a referral,” Thomas Fross, the CEO of Platinum Advisor Strategies, said at the Platinum Top Producers Boot Camp.
January 28, 2013
With the new office, the Ric Edelman-owned wealth management firm now has 32 offices in 13 states.
January 16, 2013
This year, Duran said the company plans to aggressively expand its business model, and its brand -- aiming to look more like Starbucks and less like rivals HighTower and Dynasty Financial.
January 9, 2013
As advisors wait to see whether they'll be regulated by the SEC or FINRA, the SEC announced that its enforcement director, Robert Khuzami, will leave the agency.
