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Pay attention to younger investors
Looking for the fountain of youth may be a fool’s errand, but courting youthful investors in need of…
Tips from top RIAs: Jon Yankee
In this one-on-one with Kelli Cruz, the director of custom research at InvestmentNews, Jon Yankee, partner and CFO at Fox, Joss & Yankee, shares his thoughts on staffing and recruiting.
Dynasty snags a Schwab big to head RIA business
Dynasty Financial Partners LLC has hired Loren Morris as director of RIA services.
Tax reform could mow down deductions, special cap gains treatment
The mortgage expense tax deduction and other 'sacred cows' would be gutted under an influential lawmaker's tax proposal
Top state securities cop to step down before ‘the switch’
Ralph Lambiase, longtime director of securities for the state of Connecticut, will be retiring on Feb. 28. Mr. Lambiase, who has been a regulator with the state for 33 years, announced his departure earlier this month to his staff.
It’s time to remind clients to vote their proxies
The peak of the corporate proxy season is at hand, and advisers should remind their stock-owning clients to vote their proxies
Dynasty hires Schwab alum to aid RIAs
Dynasty Financial Partners LLC has hired Loren Morris as director of RIA services
Fidelity snags LPL exec to run family office program
Norton to run UHNW program for RIAs
Public pension crisis has some bracing for worst
Legislative ambiguity about public pension funds, as well as their underfunded status, has financial advisers who work with public employees scrambling to plug holes in their retirement plans
What clients hear when advisers talk: Blah blah blah
Investors say they want clearer explanations about strategies, losses; close to half do their own planning, survey shows
CFP Board taps Merrill Lynch exec to run biz development
Aiming to extend its outreach to large financial services firms, the CFP Board has hired Joseph V. Maugeri as its director of business development.
Sallie Krawcheck: Bring on the indies
The BofA-Merrill boss sounds set to take on recruiters, the threat of the rising RIA model, and anyone else who steps in her path
BofA slaps ‘garden leave’ restrictions on advisers
Has Bank of America Corp. upped the ante in the battle between the wirehouses and the independent advisory firms gunning for their top producers?
You having a laugh, mate? U.K. proposes $225 a week flat-rate state pension
The U.K. government proposed replacing its current means-tested state pension with a flat-rate payment of about 140 pounds ($225) a week, with the goal of increasing incentives for people to save for their old age.
Some states give a break on the deadline for filing ADVs
Although many federally registered advisers were scrambling last week to meet the March 31 filing date for the new ADV Part 2 forms, state-registered advisers in several states, including Michigan, Pennsylvania and Texas, were enjoying a bit of a reprieve
Gen X/Y: Advisers just don’t understand
Advisers and Generation X and Y investors aren't seeing eye to eye on investment issues
CFPB should not be undermined
Republican lawmakers should stand down in their efforts to delay and obstruct the shaping of the Consumer Financial Protection Bureau, which if properly implemented will go down in history as the most significant and innovative change to come out of the Dodd-Frank financial reform law
<b>Hot topic:</b> Advisers not charging enough: Study
Many fee-based advisers leaving money on the table; cheaper rates do not bring in more clients
ADV overhaul: Plain English is Greek to some advisers
Many financial advisers are finding out that they aren't as fluent in English as they thought
Profiling? Advisers get more time to work up bios of staff
Advisers have an additional four months to prepare “plain English” brochure supplements about their investment personnel thanks to an extension granted by the Securities and Exchange Commission late last month.
