8 Leadership Mistakes That Hurt Your Firm
Over the 15 years I’ve spent working with owner-advisors, I’ve come to realize that their biggest challenge is to make the transition from being advisors to being leaders.
Vanguard Appoints John James as New Head of HR
Vanguard has appointed John James to be its new head of human resources beginning Dec. 31.
Ex-Fed Chief Greenspan Tapped by Advisors Capital Management as Econ Advisor
Advisors Capital Management said former Federal Reserve Chairman Alan Greenspan is now an economic advisor to the $1.4 billion RIA firm.
Recruiting Roundup: Wells Fargo, Merrill Nab Morgan Stanley Reps
Meanwhile Deutsche Bank Wealth Management and MV Financial share news on their latest hires.
SEC Names Norberg Whistleblower Office Chief
Jane Norberg was named as the new chief for the SEC's Office of the Whistleblower, which she helped set up in 2011.
UBS Settles With SEC Over Sales of ‘Complex Products’
SEC says the wirehouse must repay 8,700 investors over $8 million and pay a fine for not reasonably training its advisors.
Does Client Philanthropy Pose a Conflict for AUM Advisors?
If your client reduces his assets under management through charitable giving or other means, does that make the flat-fee approach better for advisors?
Advisors, It Pays to Thank Clients — Consistently: Janus Labs
Those who express gratitude regularly and systematically have significantly higher AUM than those who do not, Janus finds.
Wells Fargo Indie Channel Picks Up 6 Reps From Rivals
The advisors move to the firm with over $500 million in client assets from UBS, Bank of America and other broker-dealers.
Recruiting Roundup: Raymond James Nabs Two Morgan Stanley Teams
Two hybrid RIAs announce merger plans, as US Trust, Merrill, Ameriprise and other firms share their latest recruiting news.