Why Commissions Are Also Bad for Brokers
Commission-based brokers are the only guys in the hugely successful asset management game who aren’t getting cut in on the gravy train.
SEC Panel: 2 Big Problems With Advisor Background Checks
Investors don’t check advisor and rep backgrounds, and the data itself can be problematic.
The Flatter World of Financial Services
During the previous decade we have often heard allusions to the world getting flatter, as a reference to advances in technology shortening the distance—virtually—between people and cities.
Hearsay Updates Social Media Apps for Mobile Phones
Meanwhile, Socialware introduces a brand protection tool for financial companies.
Hearsay Social Names CFO
William Salisbury, Hearsay's first CFO, has worked for Morgan Stanley, Avast Software and other firms.
Keeping Up With the Robo-Race
Efforts to help advisors beat back potential competition from robo-advisors continues this year with two recent offerings—one born of a collaboration between Vanare and NestEgg Wealth, and another from social media company Hearsay Social.
The Medium Is the Message, When the Subject Is Investor Protection
The Committee for the Fiduciary Standard suggests mainstream media have an important role in investor protection, but I wonder if the emphasis is misplaced.
How to Differentiate Services Across Segmented Client Tiers
You know you should segment your client base into tiers, how exactly do you do so the right way?
4 Reasons to Get Beyond the Single-Rainmaker Model
Once owner-advisors get past a rainmaker mentality and create a marketing foundation within their firms, executing a solid marketing plan can have many benefits beyond simply attracting prospective clients.
SEC Busts 4 Insurance Agents in Scam Against Seniors
SEC charges four insurance agents for unlawfully selling securities in what turned out to be a multimillion-dollar fraud targeting retirees.