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PRACTICE MANAGEMENT APR 03, 2018
If friends asked you to recommend an adviser, could you?

It's not an easy answer; there are many factors to consider.

By Joni Youngwirth
FINTECH APR 03, 2018
It may be too early to write off robo start-ups

Wealthfront's reported drop in value took some in the advice industry by surprise, but it may not mean that investors will sour on the entire digital advice industry.

By Ryan W. Neal
Social media helps gain clients, but changes relationships, study finds
FINTECH APR 03, 2018
Social media helps gain clients, but changes relationships, study finds

Putnam research reveals more frequent, but less personal, adviser communications.

By InvestmentNews
LIFE INSURANCE AND ANNUITIES APR 03, 2018
Finra institutes disciplinary proceedings against broker over alleged improper variable annuity sales

Regulator claims Frederick David Holloway replaced lower-cost variable annuities with higher-cost ones without ensuring they were suitable or in their clients' best interests.

By InvestmentNews
FINTECH APR 02, 2018
Beyond payroll: What makes broker-dealers successful

Adviser compensation management is about more than adviser compensation.

By Michael Brodeur
PRACTICE MANAGEMENT APR 02, 2018
FPA terminates relationship with New York chapter amid allegations of ethical lapse, retaliation

Devika Kamboh, president of the New York chapter's board, described "nefarious" activities among its directors, and said the national Financial Planning Association suggested she overlook the potential violations.

By Greg Iacurci
RIAS MAR 30, 2018
Adviser's Consultant: Luring breakaway brokers to a hybrid RIA

Goss Advisors makes the case for economies of scale leading to higher payouts.

By Jeff Benjamin
PRACTICE MANAGEMENT MAR 30, 2018
4 things to remember when delivering bad news

What to do when you need to inform clients about unwelcome developments.

By Connie Yan
FINTECH MAR 30, 2018
Social media spring cleaning is a must — now more than ever

Those Facebook issues you keep hearing about are a top reason to pay more attention to your account settings.

By Scott Kleinberg
PRACTICE MANAGEMENT MAR 30, 2018
Charitable planning for business owners in transition

As baby boomers exit their businesses, they're good prospects for charitable tools such as donor-advised funds.

By Phil Cubeta
EQUITIES MAR 29, 2018
Advisers should make the most of volatility for clients

Use stock market swings as opportunities to improve service to clients.

By Damian Ornani
PRACTICE MANAGEMENT MAR 29, 2018
In his first year as LPL Financial's CEO, Dan Arnold's compensation soars

He earned $7.4 million, up from $2.9 million in 2016 and 37% more than his predecessor, Mark Casady, made in his final year.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT MAR 29, 2018
Merrill Edge looks to hire 300 advisers in 2018

Online brokerage platform also plans to open 600 new investment centers by 2020.

By Bruce Kelly
RIAS MAR 28, 2018
Envestnet looking to support breakaway advisers

New Quick Start program promises to onboard new RIAs on the Tamarac platform within 30 days.

By Ryan W. Neal
PRACTICE MANAGEMENT MAR 28, 2018
Finra arbitrators award $475,000 to Morgan Stanley for broker who violated protocol

Kevin Michael Clouse left the wirehouse in February 2017, months before the firm pulled out of the protocol agreement.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT MAR 28, 2018
Independent broker-dealers open up their coffers as fight for talent turns fierce

One factor was the competition for NPH advisers as IBDs record double-digit increases in the amount spent on forgivable loans.

By Bruce Kelly
FINTECH MAR 28, 2018
Betterment to let humans customize robo portfolios

New Flexible Portfolios lets advisers and retail investors adjust individual asset class weightings.

By Ryan W. Neal
RETIREMENT PLANNING MAR 28, 2018
Retirement plan advisers ignore content marketing at their peril

Content marketing is not an alternative to other forms of client prospecting.

By Fred Barstein
MUTUAL FUNDS MAR 27, 2018
Digital investment firm launches new fund for women

Latest offering from Ellevest will invest in offerings that help advance women.

By Bloomberg
WOMEN ADVISOR COMMUNITY MAR 27, 2018
An American CFP's experience in the land down under

Australia's money culture diverges from the U.S.'s given its higher standard of living and stronger retirement saving system.

By Cary Carbonaro