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.
Looking Ahead and Managing Change: 35 Years With Investment Advisor—Slideshow
This year is the 35th anniversary of Investment Advisor.
Age No Impediment to a Successful Succession Plan
A 32-year age gap exists between the founder and outgoing CEO of an RIA firm and his successor.
The CFT Training Process
Certified Financial Transitionist training offered through the Sudden Money Institute (SuddenMoney.com) consists of four parts, which can be completed together or individually
Gender and Change
In a survey with More magazine, Susan Bradley asked 222 women whether men and women manage transitions differently. A surprising 95% said yes. The differences fell into three categories.
Communicating (or Not) During Tough Transitions
“One of the things that Sudden Money techniques help us do is structure meaningful conversations,” said Peggy Frye, who completed Certified Financial Transitionist training in 2013.
The Future of Advice: The Bad News Looks Better Than the Good News
Apparently, 2014 was the year of over-hype for advisory industry surveys.
RIA, Dually Registered Assets To Reach 28% Market Share By 2018
New research from Cerulli Associates shows that independent RIAs experienced the strongest growth among the independent channels in 2013, increasing 17.1% to $1.67 trillion in total assets.
SEC Chief White Pushes Back on Advisor Audits
White tells Financial Services Committee that a reallocation of resources from BD coverage to advisors would ‘not be advisable.’
Enforcement: Nationwide to Pay $140M in 13-Year ERISA Settlement
In another action, the SEC charged the owner of a home restoration business with securities fraud for selling unsecured notes to investors.