When Is It OK to Fire a Client?

May 17, 2018

Here are some instances where it makes sense to pare down your book of business for the sake of the practice.

PriceMetrix: Lowering Fees Doesn’t Translate into More Business

May 17, 2018

“Clients don’t leave because of price, they leave because of service,” says PriceMetrix’s Patrick Kennedy.

The SEC Jumps on ICO Bandwagon. Just Kidding!

May 17, 2018

The SEC created a sham ICO website, Americans are lacking financial plans and John Kennedy co-sponsors Elizabeth Warren’s investor compensation bill.

Replacing the Sales Pitch with Conversations That Sell

May 16, 2018

Top performers listen more, speak less and master the power of questions.

House Republicans Lay Into SEC Enforcement Chiefs Over In-House Judges

May 16, 2018

Two House Republicans questioned the Securities and Exchange Commission's success rate of administrative law judges, but enforcement officials argue that the path is similar to federal court.

How to Help Do-It-Yourself Investors Address the Retirement Gap

May 15, 2018

DIY investing may help clients bridge the retirement gap by reducing portfolio management costs, but it can result in other gaps opening wider.

Six Signs Your Financial Services Firm May Be Anti-Innovation

May 14, 2018

Want to be on the forefront of the future of financial advice? Make sure your firm is not doing these.

Breakaway Advisor Builds Her Own Firm, and Wealth Follows

May 14, 2018

Before independence was in vogue, Dorie Fain of &Wealth left the comfort and familiarity of a big-name firm—plus significant chips on the table—to build her own RIA. Fain shares how she banked on her client relationships, instead of “believing the...