Tag: Practice management

Merger and acquisitions (M&A) among registered investment advisory (RIA) firms has slowed, but firms are poised for resurgence, according to a new industry study.

Nearly half of registered investment advisers (RIAs) reported gaining clients and improving client satisfaction in the last year, according to the latest study of how RIAs fared during...

John Hancock Retirement Plan Services (RPS) has launched an enhanced Web site for financial representatives to help them support clients and grow their business.

The Principal Financial Group is now offering a business insurance rider on its Universal Life Flex policies.

When Charles Schwab asked advisers outside the registered investment adviser (RIA) channel whether they’d consider going independent, almost half said yes.

Financial advisers are split over whether the recession has ended, according to the latest Brinker Barometer.

Lord, Abbett & Co. LLC said its new Web site for advisers offers interactive content about investment solutions, market insights, and practice management.

The Financial Industry Regulatory Authority (FINRA) said that supervisory failures at MetLife Securities allowed two brokers to engage in undisclosed outside business activities that cost clients millions of...

Fidelity Investments has rolled out a program to give financial advisers and brokers access to market intelligence and industry insights about topics such as retirement planning.

The typical adviser receives more than 100 e-mails, mailings, wholesaler visits and internal sales desk calls every month from product providers—and that’s just from the firms they work...

SEI Advisor Network’s new Service Delivery Initiative aims to help advisers with electronic proposal generation, statement and account level reporting, and transaction automation.

Recent research by Computershare and the London School of Economics found employees in employee stock purchase plans (ESPPs) work harder and stay with their employer longer.

Insurance brokerage firm USI Holdings Corporation, will offer expanded services to companies in the Northwest U.S. by combining the operations of two of its subsidiaries, Kibble & Prentice...

CAPTRUST Financial Advisors said that the principals of The Jones Blair Group of Wells Fargo Advisors will be joining the firm’s Charlotte, North Carolina, office.

It’s been a challenging year, but independent registered investment advisers (RIAs) are optimistic, according to a quarterly survey by TD AMERITRADE Institutional.

Teamwork: It can be both helpful and challenging, according to panelists at the PLANADVISER National Conference.

MFS Investment Management has introduced Advanced (k), a program designed to help retirement platform wholesalers and retirement advisers expand their retirement plan practice.

Schwab Advisor Services unveiled enhancements, including a waiver of fees for its merger and acquisition listing service, an online version of its Scorecard tool, and a new client...