RIAs Rarin’ to Compete in 2015: TDAI Survey
“The steady movement of assets into the independent wealth management channel shows no signs of slowing,” TDAI's Nally said ahead of the firm's national conference.
Citigroup to Pay $15M FINRA Fine Over Research Leaks
Analysts' violations included illicitly helping issuers prep for road shows and hosting "idea dinners" discussing stock picks with certain clients.
‘Strategic’ Lying: To Get the Job, Tell Advisors What They Want to Hear
We don't countenance dishonesty in the employment process. Rather, as a job candidate you should show firm owners that you can help solve their problems.
Enforcement Roundup: Stock Scam by New Yorker Used to Pay for Vacation, Plastic Surgery
Meanwhile, Rajaratnam brother to pay more than $840,000 for insider trading.
10 Best Ways to Compete Against Robo-Advisors
If you, for one, don't welcome your new robo-overlords, here are 10 ways to help your advisory firm rise above them.
The Death of the Rainmaker
The days of the rainmaker are over. From Angie Herbers, here are four steps to a client acquisition process that really works.
The Fall of the Face-to-Face Client Meeting
Recent studies find face-to-face meetings are happening only once or twice a year; most clients, especially younger ones, prefer virtual settings.
Top 12 Tech Trends Impacting Advisors: Mary Meeker
Analyst Mary Meeker draws attention to everything from social media to cybersecurity in her latest talk.
Leading Your Firm From Beyond the Grave
If you die or become disabled unexpectedly, the best person to handle the forced transition of your firm is you — today.
Poor Time Management Is Costing Advisors: FPA Study
By increasing productivity, advisors could add 50 client meetings a year, a Financial Planning Association report found.