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Practice Management

September 15, 2017

Cybersecurity Must Be C-Suite Concern at RIAs, Brokers and Managers

In conversation with PLANADVISER, cybersecurity attorney and former SEC staffer Marlon Paz suggests it is absolutely essential for advisory firms to have a senior executive “not just appointed but also empowered” as the chief information security risk officer. 

September 14, 2017

Forecasting the Future of Your TPA Partnerships

Retirement plan advisers work closely with recordkeepers and third-party administrators, and as in the recordkeeping market, there are significant and persistent pressures reshaping the TPA landscape. 

September 13, 2017

Inclusion, Diversity and the Noble Purpose of Advisers

The principal of financial adviser inclusion and diversity at Edward Jones reflects on her job leading the advisory company’s revamped diversity efforts—informed by her own first career as an adviser in the field.

September 12, 2017

Assessing the Impact of Major Investment in Advisory Tech

The financial services and retirement advisory industry has collectively invested tens, if not hundreds of millions of dollars in the last decade to boost the use of big data technology; one researcher asks how it’s all paid off. 

August 02, 2017

More Advisers May Be Forced to Use Model Portfolios

Most executives interviewed by Cerulli believe that home-office discretion will increase as “underperforming advisers are identified and persuaded to use portfolios created by the headquarters consulting group.”

July 19, 2017

Elite DC Advisers Have Had Enough of Falling Fees

The head of DCIO sales for Wells Fargo describes an encouraging trend in the way advisers are defining their value and assessing pricing that is fully rationalized and fair to both the client and the firm.