Our Human Capital Disaster
It may not be news that the advisor community is facing a labor shortage just as demand for professional advice is peaking. What is news is the scale of that shortage, and three overlooked trends are already playing out with the potential to make that shortage a catastrophe.
Seeing the Glamorous Side of Finance
Virginia Postrel reflects on financial advice and visual persuasion.
Hearsay Social Rolls Out Facebook Ad Tool
The program aims to help advisors and others promote their posts via social media.
DOL Seeks Feedback on Brokerage Windows in 401(k)s
The range of investments available in the "window" and how much disclosure workers get about them are some of the questions DOL wants answered.
Compliance at Financial Services Firms Falls Short
Compliance firm Cipperman finds that firms, especially in the alternatives space, tend not to invest enough in staying compliant.
Edward Jones to Fund Series 7 Course for College Students
The firm will pay to add this course to 10 universities that offer a financial planning sequence, starting with Kansas State University.
Smaller Asset Management Firms Can Have Big Brands
Just ask PIMCO: smaller firms that “punch above their weight” can leverage their brand better than larger firms that have lost momentum, consultancy Landor says.
4 Leadership Lessons From Football to Build Your Advisory Firm
Legendary Tennessee football coach Phillip Fulmer shares his insights on vision, teamwork and legacy building.
New Hire Roundup: Women in ETFs Announces Board Members, Leaders
Also in new hires, FNEX has named Neal Wolkoff to its newly formed board of advisors.
Firm Fined $70M for Stock, Note Fraud
A holding company, a brokerage firm and their CEO were fined for misrepresenting notes and stock they sold to unsophisticated investors.