In this section we present key findings and insights from our survey questions on practice management and operations, including services offered, the most time-consuming activities, professional designations, custody relationships and documentation trends.
Some would argue independent broker/dealers have been slow to adopt social media. Compliance, perhaps, has been their biggest hurdle. But if these firms are any indication, the IBD world is catching up. And as consumers increasingly turn to social...
Dr. Alden Cass, psychologist to Wall Street bankers and brokers, is among the subjects of a new documentary chronicling the consequences of economic uncertainty among white-collar professionals.
Whenever given a microphone and a stage, I take the opportunity to warn investors and financial professionals alike against the harm of keeping too close a tab on the financial news. Since my exhortations to turn off the TV are so roundly ignored...
If you’re an advisor who is ready to leave a wirehouse, you’ve no doubt been doing your homework about making the transition to the independent space. You’ve been reading everything you can get your hands on, talked to other...
Las Vegas: “I’d love to know what your research says about today’s elite financial advisors,” Jason remarked prior to my presentation, then specifically asked, “I’d love to know what marketing activities they...
RIA and dually registered advisory channels will grow their share of the advised assets to 26 percent by 2016, up from 21 percent today, according to a new report by Cerulli Associates. That growth will largely come at the expense of the wirehous...
Winston-Salem: “How do you maintain such a high level of passion?” Rob asked me as we broke for lunch, then clarified “I’m serious. I’m very impressed with your passion after...
