Tag: Practice management

Over half the respondents in a survey said they would consider switching or starting a new adviser relationship if the adviser developed a written retirement income strategy.

Thomas A. Panoplos was promoted to managing director in the investment advisory group of Mesirow Financial.

Referrals and networking were touted as top acquisition strategies in 2012 by advisers, who expect to rely on the same approaches in 2013.

Providing “good funds” isn’t enough.

The definition of retirement is changing, which requires new considerations when planning.

Fewer than 20% of investors under the age of 40 feel they received adequate financial advice following a recent life event. 

The House Committee on Financial Services passed a bill Wednesday that would collar expected rulemaking from the Department of Labor (DOL) to amend the fiduciary definition.

Florida’s governor enacted legislation on Monday making it a notice-filing state for branch office applications.

Blake Richards of Buford, Georgia, was enjoined by a federal court from committing more violations of the securities laws.

The Confident Retirement approach created by Ameriprise Financial aims to help clients close to or actually in retirement feel more confident about their finances.

A Web-based investment-filtering tool from Paychex Inc. simplifies investment aggregation and identification for advisers.

A guide from the Principal Financial Group helps advisers answer common plan sponsor questions about compensation.

A white paper on asset consolidation from Principal Funds highlights opportunities for investors and financial advisers.

Avoiding discussions about money is a risk factor for retirement savings, according to MFS Investment Management.

LPL Financial adopted an annuity visualizer by Lincoln Financial Group to help its advisers explain the benefits and the different rider options of annuities.    

Chinese Americans are great at saving, according to research from Wells Fargo, but fewer than half of survey respondents have a written financial plan.

A coalition of organizations urged Mary Jo White, chairman of the Securities and Exchange Commission (SEC), to establish a uniform fiduciary standard for broker/dealers and advisers.

As the retirement security of having a defined benefit (DB) plan has become a thing of the past, the role of the plan sponsor has also changed.

Pershing allowed a peek at mobile solution NetX360 iPad and iPhone apps at the INSITE conference in Hollywood, Florida.

Long-term care needs and how they fit into financial and estate planning are examined in “The Advisor’s Guide to Long-Term Care.”