Tag: Practice management

Advisers are gearing up for growth with technology investments, customer service and training, according to a survey by TD Ameritrade.  

 Registered investment advisers (RIAs) and dually registered advisers are the fastest-growing channels, according to research from Cerulli Associates in Boston.   

Less than half (43%) of Americans who are actively planning for retirement intend to meet with a financial adviser to review investment strategies this year.

 Institutional Securities Corporation (ISC) has been acquired by a team led by Scott A. Hayes, the firm’s executive vice president.   

Advisers need to integrate workflows, technology and human capital, according to a white paper from Fox Financial Planning Network (FFPN). 

Marcello Cosentino expanded Security Benefit Corporation’s registered independent adviser (RIA) and independent broker/dealer channel with four states.   

Advisers divulged winning strategies at NAPA/ASPPA 401(k) Summit.

Lincoln Trust has introduced a low-cost retirement plan solution, Model(k), providing fiduciary risk management for broker/dealers serving the small and midsize 401(k) market.

Penton’s Advisor Confidence Index (ACI), which measures advisers’ views on the economy and the stock market, rose by 8.4% in February.

A recent CareerBuilder survey finds the majority of workers plan to continue to work after they reach retirement age.

Among its exam priorities, the Securities Exchange Commission (SEC) listed sales practices, fraud, and compliance for advisers registered as broker/dealers.

Financial Service Standards LLC (FSS), an organization that specializes in training retirement plan advisers and developing practice management resources, has been acquired by fi360.

One-quarter (26%) of U.S. adults use social media for personal finance and investing purposes, according to Cogent research.

Nationwide Financial takes on client fears and retirement planning challenges in “Let’s Face It Together,” a newly launched campaign that supports advisers.  

ERISA (Employee Retirement Income Security Act) 3(21) and 3(38) fiduciary services have been added by July Business Services for qualified retirement plan sponsors.  

Retirement Plan Consultants (RPC) has implemented SunGard’s Relius Administration plan administration and recordkeeping solution.

The ripest sales opportunities for advisers may be men and women, age 35 to 64, with incomes of $150,000 to $249,000, according to Nationwide Financial.

Praxis Fiduciary Advisors LLC in Carmel, Indiana, changed its name to ProCourse Fiduciary Advisors LLC.

The growing opportunity in IRA rollovers should be a key component of financial services firms’ strategies over the next five years.

 Putnam Investments  aims to shine a light on the critical role of innovation in driving outcomes for advisers and investors.