Tag: Practice management

A recent Cerulli Associates report assesses whether eRIAs, also known as robo-advisers, could be challenged in the medium and long terms by a “first-mover effect.”

Security enhancements to External IT’s Cloud Desktop improves security, visibility and control by shining a light on the applications and data that advisers access.

A new LIMRA study finds many financial advisers prefer to do business with financial product wholesalers who work together as a team across internal and external distribution channels.

New merger and acquisition (M&A) data from Schwab Advisor Services finds the pace of deals in the registered investment adviser (RIA) industry remained steady in 2014.

New York City Comptroller Scott Stringer has proposed a state law requiring financial advisers to disclose whether they put their own financial interests ahead of their clients’ needs.

A LIMRA study suggests upwards of nine in 10 young financial advisers are satisfied with their career prospects.

The deadline for some to start taking required minimum distributions (RMDs) is April 1, and the penalty for forgetting—a 50% tax bill—is big.

The EZ K Plan from Revzon Consulting Group is a full- service, one-stop 401(k) plan package that lets registered investment advisers meet the needs of small-company clients.

Advisers are aging—and few have a succession plan, or even a grip on how to sell, merge or add to their practice, say the creators of RIA Match...

Destel-Bergen Corporation is merging its retirement plan administrative services practice into DWC.

CAPTRUST and Pensionmark Retirement Group will create a new entity intended to be the industry’s premier platform for retirement plan advisers.

Less than a quarter of wirehouse advisers control nearly half of all traditionally advised assets, says Cerulli Associates in a new report. 

Baby Boomers who have cut the apron strings for their adult kids are twice as likely to be retired than ones who haven’t, a survey finds.

Principal Global Investors has hired Paul Kim to launch and lead the firm’s ETF business.

Updated training and networking capabilities offered through Social Security Timing, the Social Security software, help advisers sharpen their expertise in creating retirement income strategies for clients.

An expanded advisory practice management program from OneAmerica offers strategies in areas such as sales and marketing, branding, human resources (HR), client services and operations.

Charles C. Cornelio is retiring as president of retirement plan services at Lincoln Financial Group, a position he has held since 2009.

Financial wellness programs can cut stress and increase productivity in the work force, new research suggests, especially when employees receive more holistic financial education.

Should advisers be more careful of the phrases they use with plan participants? Most agree that lofty statements, technical terms, and jargon should be avoided.

Advisers who encounter some thorny practice problems can turn to a wholesaler, findings of a LIMRA survey suggest.