The Heirs: New Report on Finding AUM From this Unlikely Source
Change is coming. Now is the time to start cultivating relationships with the children of your clients.
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Think About Becoming an Independent RIA? New Whitepaper From Pershing is Recommended Reading
The “Destination RIA: What to Expect and How to Prepare for Independence” whitepaper provides advisors with the framework needed to begin to develop
Ex-UBS Broker Wins Expungement After Defamation Settlement
A former UBS broker has won a two-year battle to expunge his termination notice from his public record after claiming the wirehouse defamed him.
A Fraudster Loses to the SEC But Beats the Clock on Penalties
Kokesh appealed the decision, arguing that the SEC was seeking to punish him well beyond the five-year statute of limitations for such penalties.
More Women and Minorities Needed for Financial Planning Jobs
The gap between the current state of the financial planning profession and what is needed in this shifting landscape creates big career opportunities.
Industry AUM Hits A Wall As Investors Get Frustrated: Liberate Yourself From Market Moods
TD Ameritrade says leading advisors captured a lot of clients last year but asset growth keeps lagging. There’s a better way to scale.
Wirehouse Market Share Keeps Dropping
New data from 2018 is in and shows that wirehouses shed 5.7% of their client assets during the year. Advisor headcount also dropped by 403 advisors.
