Practice Management

PANC 2017: Business Models of the Future

Despite changes brought on by the DOL’s fiduciary rule, retirement plan advisers should focus on structuring their business model to best service plan sponsors and participants.

Mapping Industry Change Just Part of the Job

From a rapidly evolving recordkeeping provider landscape to a potential wholesale rewrite of the tax treatment of retirement assets, today’s environment puts advisers and their clients in a constant state of flux. 

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. 

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. 

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.

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. 

Average Age of Advisers Ticks Down

But, as the ranks of advisers nearing retirement grows, there is a need for formal succession plans, TD Ameritrade says.

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.”

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.