Tag: Practice management

Terminations, retirements and those exiting the industry by choice have all taken their toll on the adviser headcount, which slipped 1.4% in the past year.

A survey of retirement plan advisers (called “consultants” in the study) said they must make changes if they want to increase sales and retain more business. 

If there’s a magic number that helps people feel optimistic about a successful retirement, it’s half a million, according to Maritz Research.

Socialite, a social media platform from Actiance that allows people in regulated industries to share content and delegate access, has several new features.

With regulatory changes coming, advisers need to reconsider their fiduciary status.

Legislation introduced by Congresswoman Maxine Waters would give the Securities and Exchange Commission (SEC) the authority to impose user fees on investment advisers.

Five years after the financial crisis, Main Street investors remain pessimistic about their finances and don’t feel wealthy enough to require financial advising services.

Without significant changes, the SEC cannot fulfill its mandate for examinations of investment advisers, said Elisse Walter, commissioner of the Securities and Exchange Commission (SEC).

Financial advisers can provide a valuable and necessary service to both defined contribution (DC) plan sponsors and participants—if advisers know what they need.

National Financial Partners Corp. said it agreed to be acquired by Madison Dearborn Partners for $25.35 per share in cash.

Lodestar is an interactive global market intelligence platform that allows users to explore and customize more than 20 years’ worth of Cerulli research data.

Matthew Hutcheson of Eagle, Idaho, was found guilty after just a few hours’ deliberation by the jury.

Next week, Public Broadcasting System’s (PBS) Frontline program will re-air a documentary called “The Retirement Gamble.”

Unsurprisingly, client retention is one of the top areas of focus for advisers who make the move to the independent model.

Advisers might want to take a look under the hood to see what’s causing private investors to think it is better to go it alone.

The Guardian Insurance & Annuity Co. Inc. is hosting a 401(k) summit focused on the micro- and small-plan markets.

When making a decision about plan assets, nearly half of retirees and pre-retirees (41%) consult a financial adviser, research found.

Vanguard has expanded the availability of its low-cost 401(k) plan service for small to midsize businesses to plan sponsors that work with third-party plan administrators (TPAs).

Baby Boomers’ confidence in doing a good job preparing financially for retirement has declined.

A registered independent adviser (RIA), Independent Financial Advisors of Riverside, California, is Beacon Pointe’s latest deal.