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Despite lean times, client appreciation events still a must
Although costs are tight for many advisers, these types of client appreciation events remain extremely important — especially following last year's market collapse, which left many clients worried about their financial future.
As insurers gain in wealth management race, hurdles remain high
In the long battle to position themselves as wealth managers, life insurance companies still have to prove to financial advisers that they can do more than sell annuities.
Schwab’s mea culpa and promises to advisers
The Charles Schwab Corp. ended its annual conference for independent advisers last week with a flourish and a confession.
Firm based in smaller market has eye on the wider world
In 1986, Thomas A. Muldowney was discouraged by what he was seeing in the financial services industry.
New York asset manager a family firm in more ways than one
At 83, Robert B. Deans Jr. still comes into the office every day.
Firm’s new leader has his sights set on new frontiers
Rolling out of the recession, Aspiriant LLC's newly chosen leader has set his sights on eastward expansion, turning the steering wheel away from sunny California and toward the Midwest.
Serving the stewards is focus of firm with Christian clientele
Ronald Blue & Co. LLC and its chief executive, Russ Crosson, have put their faith in charity.
Shocker: Advisers and brokers agree clients should come first
Most advisers and brokers agree that all professionals giving financial advice should be required to put the client's best interests first at all times — the traditional fiduciary standard — according to a new survey.
Focus Financial lining up new capital infusion
Focus Financial Partners LLC, which calls itself the largest partnership of wealth management firms in the world, is securing a new capital infusion to help it service outstanding bank debt and continue its business of acquiring stakes in large registered-investment-advisory firms.
ETF Roundtable transcript
The following is an edited transcript of the round-table discussion. It was moderated by InvestmentNews deputy editor Evan Cooper and reporter David Hoffman.
Fidelity unveils market analysis aimed at RIAs
In a move to attract and retain registered investment advisers and independent-broker-dealer clients, Fidelity Investments has introduced a program that it says offers financial advisers access to market analysis and industry insights.
Raymond James hikes minimums for new RIAS
The investment advisory division of Raymond James Financial Services Inc. has raised the minimum level of assets under management for new clients to $50 million, from $30 million.
Raymond James ups the ante for RIAs, raises asset requirements
Raymond James Financial Services revealed a new strategy for targeting “elite” registered investment advisers.
DC plan participants need credible advice, and quickly
Thanks to foot-dragging by Congress and the Department of Labor, millions of participants in defined-contribution retirement plans have struggled through the financial crisis and market crash without
Insurance agents to Dodd: Don’t force us to take on RIA role
Life insurance agents' advocacy groups teamed up on Friday to ask Connecticut Senate Banking Committee Chairman Christopher Dodd, D-Conn., to reconsider a legislative provision that would require life agents to become registered investment advisers.
Congress needs to avoid a dangerous juggling act
Congress has plans to pass health care reform legislation, and cap-and-trade legislation to combat global warming, and will have to reconcile financial-reform legislation — all by the end of the first quarter of 2010.
SEC’s pop-quiz proposal provokes adviser opposition
The financial advisory industry is rallying its troops against a controversial SEC rule proposal that would subject thousands of investment advisers to surprise exams by outside auditors.
Weak dollar a mixed blessing and an opportunity
Could the Obama administration be following a weak-dollar strategy deliberately?
Schwab sees a surge this year in breakaway brokers
The Charles Schwab Corp's campaign to help stockbrokers become independent investment advisers has been picking up speed.
Gannett Welsh’s Fox: Don’t oversimplify the fixed-income portion of a client’s portfolio
Fixed-income investors focused on the direction of interest rates run the risk of making big mistakes, warns portfolio manager John Fox, co-head of fixed income at Gannett Welsh & Kotler LLC.
