Practice management

New IBD-to-OSJ trend? Cetera lands $820M HBW Partners

Implementation of fiduciary rule could drive more IBDs to seek safe harbor with large partners.

Independent BDs Ann Marsh June 22

Independent BDs Ann Marsh June 22
How SEC, FINRA exams could change under Trump

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

Compliance Tobias Salinger June 21

Compliance Tobias Salinger June 21
Voices CFP Board to remove Instagram post that drew outcry

Eleanor Blayney
CFP Board Consumer Advocate CFP Board

After a social media quote provoked criticism, the special adviser on gender diversity replies.

Diversity and equality June 19

Diversity and equality June 19
How the adviser's role is being radically transformed

Advances in technology and better informed clients are forcing firms to adapt their strategies to a changed business environment.

Practice management Charles Paikert June 15

Practice management Charles Paikert June 15
Voices When all in the family is too close for this adviser’s comfort

Dan Moisand
Principal Moisand Fitzgerald Tamayo

What’s a planner to do when clients say their child, a new adviser, is asking them to invest?

Client communications June 15

Client communications June 15
What you need to know to start a fee-only RIA

From setting fees to compliance scares, veteran planners advise new RIAs on what to consider when launching a firm.

Practice management Tobias Salinger June 13

Practice management Tobias Salinger June 13
Voices Considering transitioning to a super OSJ? 5 must-read tips for IBDs

Brian Kovack
president and co-founder Kovack Securities

Here's what smaller firms hoping to get out of the broker-dealer business need to know.

Independent BDs June 9

Independent BDs June 9
Voices Bending the truth on the fiduciary rule

Ben Edwards
associate professor University of Nevada at Las Vegas

The truth is, many investors would be horrified to learn the true extent of the fees they pay.

Fiduciary Rule June 8

Fiduciary Rule June 8
Voices ‘Sad reality’ that some advisers struggle with personal budgets

Scott Schutte
Managing Director Lightship Wealth Strategies

Planners who lack this vital skill may not provide the best guidance to clients.

Selfie June 7

Selfie June 7
Voices The approach advisers need to win millennial clients

Traci Mabrey
head of Wealth Solutions Broadridge

Financial planners need to recognize that next gen clients are consumers first, investors second.

Practice management June 5

Practice management June 5

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