'Hide Not Slide' Orders Were Slippery and Hidden
What's behind the $14 million fine imposed by the SEC on Direct Edge's 'Hide Not Slide' order types.
5 Metrics for Your 2015 Strategic Business Plan
If the focus of your firm's metrics only includes AUM and production, you're missing these other valuable measurements of success.
Firm Builds Niche Client Base of Pro Baseball Stars
Winpoint's Joe Geier, advisor to Cal Ripken Jr. and dozens of other pros, tells the story of how he broke into advising MLB stars.
Technology Will Continue to Transform Independent Advice, and Advisors
The history of the independent advice model confirms that technology empowers independent advice. It will continue to do so.
Faith-Based Advisor Group Requires a Real Commitment
Gaining a Qualified Kingdom Advisor designation isn’t for advisors who “just want to put a fish on their business card,” says Rob West.
The Real Value of an Advisor: 'Risk' and 'Managing'
Are your conversations with your clients about the 2014 markets different than in 2008-2009? We focus on helping clients understand what we mean by risk and managing.
A 6-Point Advisor To-Do List for 2015
Love that bull market, but to succeed next year no matter how the markets behave, you'll need to follow these six steps.
Understanding (and Landing) Entrepreneurs as Clients
A BMO Wealth Institute report says advisors need to understand entrepreneurs’ mentality and hold specific expertise to gain admission to these coveted clients’ “inner circle.”
How Advisors Can Sell Without Being Pushy
Veteran coach Beverly Flaxington shares ideas from her new “Pocket Guide to Sales for Financial Advisors.”
F-Squared Pays SEC $35M Fine to SEC for Misleading Performance Advertising
SEC says F-Squared's AlphaSector used back-tested performance data that mistakenly inflated results by 350%, not actual performance numbers.