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.
Morgan Stanley Picks Up Ex-Merrill Institutional Team in Chicago
Raymond James adds independent RIA group, while HighTower brings on a former UBS group.
Should CFP Board Settle Camarda Case? My Argument and the Board’s Response
Is it time to settle the case quietly, before it goes to trial? I say yes, but the CFP Board chairman begs to differ.
XY Planning Makes RIA Compliance Package Free for Members
XYPN memberships will now include free full assistance with the initial filings for new RIA firms, as well as ongoing compliance support.
SEC Budget Boost Not Enough for Advisor Exams: Investor Advocate
In report to Congress, Investor Advocate Fleming also said "reverse churning" of clients in wrap fee accounts needed to be aggressively policed.
The Importance of People Skills
It may surprise you to hear that one of the main points that the Army stresses when training its officers is that to command effectively, it’s important that your subordinates like you.
Think Like an Owner
The veteran advisor who has built a billion-dollar wealth management firm says there’s one troubling issue he and his owner-advisor peers share.
How to Think Like An Owner
Junior advisors who learn to think like owners have a far greater chance of achieving that goal.
From Financial Pupil to Financial Planner
A young planner shares her experience moving up the ranks from a financial planning student to a full-fledged advisor.
Raymond James Adds 8 Advisors; Margaret Towle Joins Merrill
RJ adds advisors from largest credit union in Oregon, while Wells Fargo adds reps in Connecticut and Texas. Towle, formerly of HighTower, joins Merrill.