Tag: Practice management

Additional information RIAs must now disclose on the Form ADV may help the SEC develop an automated system to single out firms for examination. 

The two firms hope to allow advisers to access a new version of Vestwell’s retirement planning portal on the Riskalyze platform.

Broker/dealers (B/Ds) can address new regulatory pressures, and new competition, by enhancing their value proposition and embracing technology, a report by Cerulli suggests.

The latest U.S. monthly product trends report from Cerulli Associates compares the approaches to client service and practice leadership adopted by men versus women advisers.

The firm has launched a prospect portal and now offers a depository for financial, legal and personal documents.

In conversation with PLANADVISER, cybersecurity attorney and former SEC staffer Marlon Paz suggests it is absolutely essential for advisory firms to have a senior executive “not just appointed...

Advisers can also use the platform to move clients from a fully-automated solution to a more collaborative arrangement as needs evolve.

The principal of financial adviser inclusion and diversity at Edward Jones reflects on her job leading the advisory company’s revamped diversity efforts—informed by her own first career as...

Aimed at asset managers and advisers, the first in the “In the Know” brief series covers Dodd-Frank, the Financial Choice Act and more.

The firm hopes its relaunched gender and cultural diversity programs aimed at attracting and retaining people from more walks of life to the advisory industry can help to...

Nomination forms for the 2018 PLANSPONSOR Retirement Plan Adviser of the Year and Plan Sponsor of the Year Awards are now available.

New research from Fidelity warns that plan sponsors’ increasing focus on health care is cutting back the amount of money and time they have to devote to retirement...

Cetera Expands Retirement Business; Mercer Expands Leadership in Detroit Office; OneAmerica Names West Coast Relationship Executive.

Greater use of centralized portfolio management means advisers are under pressure to prove their value in other ways, such as offering financial wellness programs.

In addition, many are not confident in their firm’s cybersecurity.

The new PlanOnTarget initiative gives CUNA’s adviser clients new digital capabilities including self-service dashboards and enhanced analytics.

Some providers train call center staff to educate participants about the implications of taking a hardship and other options.

But, as the ranks of advisers nearing retirement grows, there is a need for formal succession plans, TD Ameritrade says.