Tag: Business model

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

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.

Fiserv Inc. updated its Unified Wealth Platform with advanced trading and modeling capabilities, improved model data reporting and more intuitive user interfaces.

The Future of Finance Project’s aim is to shape financial services into a more trustworthy industry.

Advisers may think they are recommending the best products, but what do their clients think of the advice?

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

PLANSPONSOR has announced the finalists for its annual Retirement Plan Adviser of the Year awards, in three categories.

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

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

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

Investment managers worldwide are expected to grow less than 1% from net new money annually through 2017.

Investors put more trust in advisers than they do in financial firms overall, according to research from Cerulli Associates.

Mergers and acquisitions for registered investment advisers (RIAs) saw a 30% rise in the total value of transactions year over year, according to Schwab.

In “ERISA Fiduciary Issues: A Practice Guide for Advisors,”Matrix Financial Solutions outlinesthe responsibilities of an ERISA fiduciary.

Since the financial crisis, high-net-worth (HNW) investors have been averaging nearly four investment provider relationships, Cerulli research found.

Change will continue to dominate business practices in the sixth year since the financial crisis,  according to a report from Aite Group.

Assets grew 19.1% in 2011 for advisers registered both as registered investment advisers (RIAs) and as brokers, Cerulli found.