Could FPA’s Waning Power Lead to Its Untimely Demise?
Its membership has shrunk even as the number of CFP certificants has risen. The FPA is at a crossroads.
FINRA Names Berry Head of Arbitration
FINRA announced Thursday that Richard W. Berry will replace Linda Fienberg as head of the self-regulator’s dispute resolution.
Pay-to-Play Compliance Reminders for Advisors at Election Time
Remember Rule 206(4)-5 of the Investment Advisers Act? The SEC does. You should, too, especially if you or your advisory firm associates make political contributions.
New Hire Roundup: SEC Names Levine to Head Advisor Exams in Chicago
In another career move, Elliot Hollingsworth has joined wealth advisory firm Halbert Hargrove as regional director.
Coaches Corner: 5 Steps to Creating Systems for Your Practice
Want to build a more effective team and a more scalable business? Follow these steps in creating a system.
After 13 Years of Invites, Commonwealth Snags LPL Advisor
Lance Nelson switches IBDs after getting quarterly postcards from Commonwealth since 2001.
ASPPA Names Keck President
Kyla Keck, a principal of SageView Retirement Plan Consultants and SageView Advisory Group in Knoxville, Tennessee, named ASPPA's new president at annual conference.
The Rise of the Millennial Manager
It has been interesting to watch the change in perspective as my next-gen peers who once described senior management in their firms as “incapable” now struggle with the same issues when they become responsible for managing people.
How Do You Know When Client Service People Are Good?
We recently received an email from an advisor asking how we assess the performance of client service staff in independent advisory firms.
Snowden Lane Picks Up $270M Merrill Duo
This news follows the boutique firm’s recruiting of a UBS team in late September.