Who Do You Love: Employees or Clients?
How can employees be more important than clients? This notion feels counterintuitive. After all, your clients pay your bills and fund your growth.
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.
How the Best Firms Outperform
It's no secret that 2015 was a tough year for independent financial advisory firms.
No Longer a Cottage Industry
The SEC is saying that advisory firms are businesses, not part of a cottage industry any longer, whose responsibility includes safeguarding clients’ data.
When SEC and State Advisor Regulation Collide
Section 222(d) of the Advisers Act cleared up those de minimis conflicts between federal and state regulation, right? Not exactly, Chris Stanley says.
Scottrade Said to Be Exploring Sale to TD Ameritrade
There is speculation that the discount broker, which works with about 1,000 RIAs, could be bought by TD Ameritrade.
Advisor ‘Uberization Anxiety’ Fraying Bonds With Clients
As clients get used to having needs met immediately through technology, advisors have to rethink how they interact with them.
How Advisors Can Use ‘Pre-Suasion’ Tactics to Gain Client Trust
Psychologist Robert Cialdini explains how to positively push people to your way of thinking before you even deliver the strength of your message.
Building Trust Key to Overcoming Client Roadblocks
Trust is still an issue in the financial services industry, Zahira Lehri of SunTrust said at the IRI Vision annual conference.
DOL Fiduciary Has Many Advisors Mulling Career Change: Fidelity Survey
While 29% of advisors see a positive impact from the DOL rule, 28% say they are considering either retirement or a career change.