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Clients won’t care if you don’t
Surprise, surprise: 85% of full-service investment firms' clients have never heard of, nor do they understand, the difference between the suitability standard followed by brokers and the fiduciary standard followed by registered investment advisers, according to a J.D. Power & Associates survey
Jackson pares funds to curb VA liability
In an attempt to dial back risk, Jackson National Life Insurance Co. will limit the availability of four…
Elder financial fraud claiming nearly $3B
Ah, retirement. Golf. Cruises. Leisurely walks. And getting financially abused by family members, strangers and businesses.
Report: Clients confused about standards and don’t care
While the financial advice industry wrangles with regulators and lawmakers over a universal fiduciary standard, most investors are far more concerned about getting their phone calls returned
Advisers prepare for end of Jackson variable annuity bonanza
News that Jackson National Life Insurance Co. will curtail sales of its popular variable annuity products — likely by limiting investments — has financial advisers on the lookout for the next best thing and its competitors waiting with open arms for an expected uptick in sales
QA3 tangles with insurer over private-placement coverage
QA3 Financial Corp., an independent broker-dealer that was a leading seller of high-risk private placements over the last decade, in a recent lawsuit said its insurance carrier was pushing it into bankruptcy by failing to back up its coverage.
GAO pans financial literacy programs
A federal certification would strain resources; some simple approaches help
‘Switch’ deadlines still could be in flux
The SEC's action last week in setting new deadlines for midsize financial advisers' switch to state registration should assuage many about the lack of a clear timetable
Wealthy may see double-digit hike in taxes
A raft of likely new taxes and rising taxes will hit the well-off hard in the wallet, say planning experts. How hard? Some can expect double-digit hikes. Yikes.
For RIAs, time is ripe to pick off 401(k) assets
Planned regulations will hike the standard of care for those who advise DC plans. That should give RIAs a good chance of picking off assets from brokers and wirehouse advisers.
Some advisers decide bigger isn’t better
Limiting the size of their practices allows them to devote more time to clients
Growing your advisory practice: What’s your next move?
After five years, financial advisory firms move from the startup stage to adolescence, where they are faced with decisions that could affect their business for the next 20 years.
After the startup: Now what?
After five years, financial advisory firms move from the launch stage to adolescence, where they are faced with decisions that could affect their business for the next 20 years.
RIA firm leaders talk scale, regulation, succession planning
Powerhouses of the RIA industry - Jeffrey McCallum, David Barton, Ric Edelman and Tom Muldowney (clockwise)- tackle the industry's biggest issues.
Most wealth management CEOs see clients unsatisfied: PwC
A majority of surveyed global wealth-management execs said their clients aren't satisfied these days. Indeed, one industry adviser says many clients 'expect a lot more and tolerate a lot less.'
Referrals worth their weight in gold
The road to success for advisers may be paved with small gifts and “thank you” notes.
Why hiring the right support staff matters
David Blain's practice was five years old when he realized it was time to turn it from a one-man band into a quartet.
Creating jobs should be Obama’s Job One
With our nation’s unemployment rate moving in the wrong direction, it is high time President Barack Obama stops…
<b>Special report:</b> Growing your practice
After five years, financial advisory firms move from the startup stage to adolescence, where they are faced with decisions that could affect their business for the next 20 years.
