Broker Movement May Well Have a Banner Year in 2015
Recruiting packages likely won't get any better, and watch for the continuing rise of the "Super Independents."
Questions to Ask When Building or Structuring Your Team. Part II—The Specifics
A successful team will be able to discover how they click and why, and know what characteristics of your team relationships most limit your success.
New Hire Roundup: Paul Smith Named CEO of CFA Institute
Meanwhile, Nikko Asset Management has hired four executives
Magic Johnson Gives Advice to TDAI Advisors
For one thing, the NBA Hall of Famer argues that you shouldn’t “love what you own.” He’s followed that advice in his post-basketball serial entrepreneur career.
12 Best & Worst Broker-Dealer 401(k) Plans: 2015
Using BrightScope data, we ranked 12 big firms on the tools they give their own employees to prepare for retirement.
SEC Names Grim Acting Director of Investment Management
David Grim has served as deputy director of the division for the past two years.
Industry, Media Fail to Promote Minority Advisors' Success, Ex-Advisor Charges
The profession hasn’t done a good enough job of profiling successful African-American advisors and showcasing their success, says former NFL player turned advisor Lee Jenkins.
A Tad Less Traditional
The credentials following Joshua Hatfield Charles’ name (CFP, ChFC, CLU, ADPA, CEP, CLTC) include the acronym for Accredited Domestic Partnership Advisor, testifying to the Rockville, Maryland, planner's focus on serving the lesbian, gay, bisexual and transgendered community.
Do You Have a Scalable Business?
Getting bigger is a great objective — if growth can be translated into results.
6 Thinking Mistakes Advisory Firm Owners Make
The success or failure of most owner-advisors doesn't depend on what most people would imagine. What really matters is how they think.