RIAs

The amount of financial advisors changing firms doesn’t capture the breadth of the challenge broker-dealers face to retain them, recruiter Jodie Papike says in an episode of Financial Planning’s podcast.

To hear some regulators tell it, “commission” is code for churning — but the fee-based vogue gives rise to reverse charges, writes Mark Elzweig.

We've had many chances to learn, from the dot-com bust to the 2008 financial crisis. But the storm is perhaps most applicable to our current situation.

As a longtime proponent of flat fees, I see a lot of pain ahead for firms that rely solely on assets under management.

Senior leaders at the No. 1 IBD meet daily about the pandemic as large enterprises set their own continuity plans into motion with an eye toward ensuring operations.

Many advisors can make the switch from a traditional office to one right down the hallway — but it comes with its own set of ground rules.

“We’re going to see more restructuring of deal terms,” says investment banker Steve Levitt.

It’s another action taken by wealth management firms to safeguard employees and clients from the coronavirus.

First, prove you’re listening; then make sure they know you’re taking action to protect their portfolios.

For firms that haven't recently updated their capabilities, the next few months will be a rough wake-up call.