More Focused, Less Frequent Marketing Gets Advisors’ Attention
Product providers’ efforts to reach financial advisors may be for naught if they don’t ease up on how often they’re communicating with them.
Raymond James Tops Estimates as Private Client Sales Rise 8%
The number of advisors jumped by 79 in the latest quarter to 6,336.
Schwab Posts Record '14 Profits, Sales; New Client Assets Hit $124.8 Billion
Net income was up 23% for year to $1.3 billion on 11% rise in revenues to $6.1 billion; client assets up 10% to $2.46 trillion.
Raymond James Picks Up $1.3M Rep From UBS
Also, Stratos Wealth added two advisors near Columbus, Ohio.
SEC’s Top Exam Priorities for 2015: Retirement Savers, Branch Offices
The regulator also will zero in on reps who offer "a variety" of fee arrangements.
Top 3 Advisor Challenges for 2015: Advisor FinTech, Regulation, Differentiation
Post-robo technology arises, a surprise new regulatory issue comes to the fore and fat-and-happy advisory firms faces the crisis of differentiation.
An Investor-Friendly Way to Switch Broker-Dealers
Advisors can use some creative techniques when telling clients why they changed broker-dealers or custodians. Start with your new firm's financials.
Raymond James Adds $1.1M UBS Rep, Ex-RBC Team
Meanwhile, Focus Financial affiliate adds an advisor with some $200 million in assets.
ThinkAdvisor’s 2014 Q4 Earnings Calendar for the Finance Sector
A list of full-year and fourth-quarter 2014 earnings release dates for companies of interest to financial advisors and investors.
Morgan Stanley Picks Up Ex-Merrill Institutional Team in Chicago
Raymond James adds independent RIA group, while HighTower brings on a former UBS group.