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The damage from Massachusetts’ latest action against sales of non-traded REITS by independent broker-dealers may not be fatal, but it should cause firms to reconsider their sales strategies, say industry observers.
Only about 2,100 SEC-registered investment advisors switched their registration to state oversight, according to the North American Securities Administrators Association -- roughly half the number that the SEC estimated would switch as a result of the Dodd-Frank Act.
“The face of the advisor will change. There’s going to be a large cohort of retiring advisors and young advisors. They are going to be more diverse, and more will be working part-time. We have to adapt services to the new demand, and develop tools to communicate and interact with advisors.”
Ultrahigh-net-worth families are asking advisors more questions about family offices. Here are a few guidelines to think about.
How will you scale your practice? What's the secret to retaining Gen Y employees? What's the best way to network? For three days, advisors and industry experts descended on Las Vegas for the semi-annual National Association of Personal Financial Advisors conference to discuss these topics and many others. Check out some of the best things we heard.
The Securities America move underscored the intensity with which advisory firms are competing for talent, executive search experts said.
A key to the direction of the continent’s future will be the economic progress of Spain, Italy, Portugal and Greece.
China’s transition from relying on exports to drive its economy to developing demand to fuel more domestic consumption is one trend worth keeping an eye on.
Reports that aging clients may not be able to make sound financial decisions because of declining cognitive skills may be overstated, said Laura Carstensen, professor of psychology and head of Stanford University’s Center on Longevity.
Want a technology investment with a real payoff? Steer clear of hot Internet stocks. Instead, make a technology investment in your own practice.
The Chicago-based platform provider and outsourcing firm unveiled Envestnet Intelligence, a new content and analytic offering for advisors at its annual Advisor Summit conference in Chicago.
The financial services industry needs a major makeover, Sallie Krawcheck said at an industry conference Friday.
Old assumptions about referrals are mostly wrong, Julie Littlechild told advisors. Here are some of the myths that need busting -- plus four good ways to stimulate referrals.
There are a number of issues advisors should make sure are addressed before putting a client in international equities.
There's a big difference between succession-planning practice sales and other kinds of deal activity, advisors learned during a succession-planning panel Wednesday.
Dynasty Financial Partners is crossing the border and headed north.
The current investing enviornment is the “Rodney Dangerfield” of bull markets, because even after five years of bullish returns it is still not getting the respect it deserves, according to Liz Ann Sonders, Charles Schwab’s chief investment strategist.
Through a six-step process that focuses on quality over quantity, discover how to get the most from your practice.
"Everything is bigger in Texas." That's certainly the case when the Raymond James and its 2013 national conference descended on Dallas, where thousands of advisors around the country gathered to learn best practices and swap ideas.
For the first time in the fast-growing company’s history, LPL has posted nearly $1 billion dollars in net quarterly revenue.