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When it comes to fees, how advisers charge is as important to clients as how much
Deducting fees from client portfolios can introduce the punishing long-term consequences of reverse compounding.
Schwab provides four-year grant to encourage planner diversity
The CFP Board Center for Financial Planning will use the money to support scholarships for CFP certification candidates.
Asset-based advisory fees stuck between inflation and a hard place
Spiking inflation adds a new twist to the concept of linking advisers' revenues to their clients' portfolios.
Finra suspends, fines broker who flubbed Covid relief loan application
Tameem Habib applied for the loan without telling his firm, J.P. Morgan Securities, that he had an outside business.
The bedrock of client experience
While clients tend to be loyal to their advisers, enhancing the firm's client experience is a way of ensuring they stay.
Wells Fargo sells off on report of probe of fake job interviews
The Manhattan U.S. attorney's office is reportedly investigating allegations the firm conducted sham job interviews of minority candidates to satisfy in-house diversity guidelines.
How investors are engaging with companies over abortion access
Recent shareholder proposals over reproductive rights have been made at Lowe's, TJX and Walmart.
Reps at firm that sold GWG bonds wanted more exposure to risky alts: B-D execs
Bill Hamm of IFP Securities said the SEC started its inquiries last year into broker-dealers that had sold GWG bonds.
How retiring advisers can avoid going ‘shoeless’
Like the cobbler's children who had no shoes because their father was too busy making shoes for customers, a large percentage of financial advisers are unprepared for retirement.
Midlevel a rich but overlooked vein for diverse talent
The greatest opportunity for change lies in the middle — at the branch or regional management level — where diversity programs fall behind or are abandoned in favor of the status quo.
Volatile market, worried clients keep advisers from unplugging this summer
Advisers may get away from the office physically, but during these uncertain times they can't leave work behind completely.
How advisers can drive growth in any environment
Here are some of advisers' best strategies for boosting growth, ranging from optimizing efficiency to engaging prospects.
In its first RIA buy, Alera Group nearly quadruples its assets to $4.7 billion
Private equity-backed Alera Group acquires $3.5 billion Wharton Business Group and says it plans to buy more firms.
Credit Suisse weighs new round of job cuts
The head count reductions would be part of a renewed push to cut costs after the bank warned of a second-quarter loss.
Wells Fargo pauses diversity rules for hiring after report of sham interviews
CEO Charlie Scharf said in a memo that the bank would halt the use of diversity guidelines for hiring as it reviews the reports of fake interviews.
Quotas prove irrelevant as companies diversify boards on their own terms
Peer pressure is accomplishing what quota laws never could, anyway.
Banks, tech giants losing skilled workers to flexible fintechs
The exodus from Wall Street, the City of London and Silicon Valley has picked up speed during the pandemic, according to data from a workplace intelligence company.
Inflation, no longer deemed transitory, puts advisers in scramble mode
The Biden administration is now saying upward pressure on prices could be the new reality, which has advisers getting more creative.
Group overseeing $800 million switches to SagePoint from Lincoln
IronBridge Wealth Counsel, which has eight advisers, has offices in seven cities across the country.
Savant invests $3 million to help Australian fintech expand into US wealth market
Australian fintech Lumiant provides a digital client portal and engagement technology for advisers, and RIA Savant will be its first US customer.
