Keeping Track of Client Accounts Efficiently
With a little coding help, when I download client account data from my custodian, all my client accounts now update automatically.
Wells Fargo Indie Group Adds 2 Ex-Morgan Stanley Advisors
The team, which has about $190 million in assets, was with LPL Financial before working for the wirehouse.
RIAs Are Least Dependent on Value-Add Support: Survey
The fastest growing segment of the financial advisor market is also the segment least dependent on outside support from asset managers, insurance companies and BDs.
Advisors Messing Up on Making Millennials Their Clients, Advisors Say
Fifty-six percent of advisors in Hartford Funds’ Advisor Anxiety Survey said they did less to attract millennials than they did to attract other groups.
Finding Your Niche: It’s Not Just for Californians Anymore
Many of the most successful advisory firms I know were built around what the advisors liked to do and the kind of clients they wanted.
Ex-Morgan Broker Loses Fight With FINRA Over ‘Forgivable’ Notes
Breakaway broker Nick Ragone, who claims “FINRA colludes with firms,” is livid over a ruling on $400,000 in bonus promissory notes.
Pretty Good Week for Live Oak Bank: $200M in Advisor Loans, Plus an IPO
The bank that lends to small businesses held a successful IPO in the same week it hit the $200 million mark in advisor loans.
$3B Team Joins Wave of Reps Saying No to Stifel
The five advisors, who are going independent with Dynasty, are the latest to leave Barclays since Stifel said it would acquire the firm's wealth unit.
Raymond James, Ameriprise Beat Estimates on Strong Advisor Results
Raymond James boosts private client revenue 9%, while Ameriprise improves wealth profits 13%.
TD Ameritrade Tops Estimates, Cites ‘Breakaway Brokers’ as a Factor
CEO Fred Tomczyk is upbeat on the attractiveness of the firm’s institutional platform and its sales pipeline.