Practice management

Serving clients from the world of venture capital poses special challenges for planners. Much like entrepreneurs, VC general partners bring risky and highly concentrated investments that cry out for diversification.

Marketing expert Marie Swift says that if you believe that your brand of personal advice and investment acumen needs to find its way into the lives of more right-fit clients, stop procrastinating and pick a couple marketing initiatives to start now.

Large arbitration cases of $10 million or more can now create new processes to fit a case and go around certain established rules under a new pilot program launched today by the Financial Industry Regulatory Authority, or FINRA.

Higher operating costs, increases in employee compensation and losses in equity markets took their toll on the regulator’s books.

The Chicago-based company announced Monday it added a pair of experienced advisors from UBS. The team is the sixth HighTower has added this year.

Charles Schwab yesterday rolled out the first version of the new Schwab Advisor Center app for the iPhone for independent investment advisors who custody assets with Schwab Advisor Services.

Education and healthcare retirement plans are using more target date funds and Roth features in their plans, according to the latest 403(b) plan sponsor survey from the Plan Sponsor Council of America.

How often have sponsors had to intervene to prop up money market funds?

CUSO Financial Services has implemented broker-dealer services and back-office support for TruMark Financial Credit Union, one of the largest credit unions in Pennsylvania.

To bridge the gap between traditional retail service staff in the bank branches and the investment advisors, there needs to be a genuine all-for-one mentality.

The potential for internal referrals is the best aspect of working in the bank channel, but most advisors aren't getting the most out of it.

The Salt Lake City-based bank is ramping up its wealth management business with the support of third-party marketing firm PrimeVest Financial Services.

Client appointments should be events.

The CEO of RBC Wealth Management - U.S. discusses his book, which details how to rebuild trust in the advisor industry.

The Supreme Court decision looks and feels monumental to most Americans, even if it just confirmed the status quo, and clients will want to know its likely impact on their budgets, their retirement planning, and the economy.

The regulatory board has revised its fees for various services in order to keep up with resource demands.

Almost half of credit union customers referred family and friends, besting large banks, which had a 32% referral rate.

Macquarie Group has announced several senior leadership appointments as well as 14 additions to its U.S. equity sales and sales trading teams.

As of March 31, U.S. retirement assets totaled $18.9 trillion, up 6.3% from $17.8 trillion in the previous quarter.

Hundreds of delinquent medium-sized RIAs must register with their respective states by today’s SEC deadline or face the prospect of being de-registered as early as Sept. 1.