4 Questions Next-Gen Advisors Must Ask When Offered a Partnership
Your life will change when making a career change to junior partner. Be sure you know what it entails.
Flat Fees in the UK: Different Country, Same Lame Arguments
Exploring the notion that paying a onetime commission for "advice" is less costly than paying an annual AUM fee.
DOL Rule in Flux, but Fiduciary Advice Inevitable
Regardless of the rule's fate, the industry is undoubtedly moving toward a fiduciary standard of care and holistic financial advice.
Is Your Data Breach Response Plan Good Enough? 3 Ways to Stress Test It
As the chances of a data breach incident increase, savvy businesses have invested time and thought in a response plan.
5 Predictions for Advisor Fintech in 2017
The rise of artificial intelligence, shifts in power among robos — change is coming for financial advisors.
Republicans Will Find Corporate Tax Reform Isn't That Easy
Tax reform is a relatively easy concept. As the current House bill shows, the difficulty is in the details.
Technology Is Your Firm’s Central Nervous System
When Jason Kavanaugh founded Concorde Investments in 2005, he felt technology would be the cornerstone of the company and the foundation from which to grow the business.
Wells Fargo Misses a Chance to Show Off
The bank’s CEO, Timothy Sloan, can dampen the effects of its mismanaged scandal by becoming a leader on employee compensation.
Can Brokers and Agents Act in Their Clients’ Best Interests?
A reader accuses me of unfairly comparing the dings of broker-dealer firms to those of RIA firms. I reply in my modest way.
Advisors, Data Is Your Product
Data has big implications for investment managers who need to achieve critical mass in order to be profitable and grow their businesses to sustainable levels.