For Aequitas Capital, Small Firms Are the Sweet Spot
For firms too large for an SBA loan and too small to attract private equity, Brian Rice says Aequitas Capital has a solution.
3 States That Shuttered Pension Plans and Paid for It: NIRS
A National Institute on Retirement Security analysis shows that switching from pensions to DC plans might not fix underfunding problems.
Top 20 Countries for Retirement Security: 2015
The U.S. keeps its spot near the bottom of the Natixis rankings for the third year running.
SEC Busts 3 Advisors for Falsifying State Registrations
The three firms claimed they did business in Wyoming, an unregulated state, while maintaining offices elsewhere, the SEC says.
Why Sorting Clients by Age, Gender Is a Mistake
There are much more effective ways to segment your client base to better meet every individual's needs.
2 Big Reasons Breakaway Brokers Have a Bright Future: TDAI’s Dorsey
Retention packages are expiring en masse, and clients are leaving wirehouses, sales director Pete Dorsey says. There are two ways an independence-minded advisor can proceed.
TDAI on Advisor Recruiting: Think Broader
For example, career changers, like disaffected teachers or social workers, can make great financial planners, TDAI's Kate Healy says.
Advising LGBT and Foreign Clients; How Advisors Are Like Political Strategists: February IA Features—Slideshow
The repeal of Section 3 of the Defense of Marriage Act paved the way to open marriage benefits for gay couples, but if they live in states that don’t recognize same-sex marriage—of which there are still 15—they may still require the kind of complex financial planning they required before the...
Global Clients Need Global Advisors
Taxes, culture, time zones—advising a client a continent away, whether they’re there permanently or temporarily, is challenging.
TDAI on Practice Management: A Little Less Conversation, a Little More Action
TD Ameritrade Institutional recently changed the name of its practice management program to emphasize the importance of taking action to achieve positive outcomes.