Apr 1, 2012
By Kristen French
Are you a “fee-based” financial advisor? That is, an advisor who gets most of your revenue from fees on assets rather than commissions on trades? ...
Apr 1, 2012
By Kristen French
Everyone, yes everyone, is now trying to offer financial advice to the clients of Wall Street retail brokerage advisors—especially the wealthy ones....
Mar 30, 2012
By Anne Field
Behavioral finance suggests investors are often irrational when it comes to money. Some financial advisors are having great success incorporating the principles of behavioral finance with clients....
Mar 30, 2012
By Diana Britton
Mar 30, 2012
By Diana Britton
Commonwealth Financial Network snagged the top spot for the second time in a row in J.D. Power and Associates’ 2012 U.S. Financial Advisor Satisfaction Study, with an overall satisfaction score of 917 out of 1,000. ...
Mar 29, 2012
By Diana Britton
It has long been debated in this industry whether commission-based advisors are doing what’s in the best interest of their clients, or simply piling them into the investments that gives them the most fees....
Mar 29, 2012
By Jerry Gleeson
Moving beyond the hype and regulatory angst, financial advisors are landing new clients via social media, according to Registered Rep.’s latest research....
Mar 28, 2012
By Diana Britton
Former Merrill Lynch financial advisor accused of helping steal $2.2 million from Indianapolis Colts’ Defensive End....
Mar 28, 2012
By Lena S. Rizkallah
As financial advisors, attorneys, CPAs and estate planning practitioners, we know that the keys to a successful financial future are setting goals and planning. In fact, our businesses depend on guiding individuals and families to help them create their financial and estate plans....
Mar 28, 2012
By Diana Britton
About a year ago, Kevin Graham, an advisor with Princeton, N.J.-based Princeton Retirement Planning, teamed up with Jose Selaya, a CPA in Elizabeth, N.J. Selaya had been Graham’s personal accountant for over 20 years, and one day Graham approached Selaya with the idea....
Mar 28, 2012
By Jerry Gleeson
Your female clients may have a lower opinion of your skills than you think, according to research. If you don’t learn to communicate with female clients, you are putting much of your business in jeopardy. ...
Mar 28, 2012
By Charles Paikert
It’s no secret that in the wirehouse world, branch office managers aren’t getting the respect or authority they once enjoyed. ...
Mar 27, 2012
By John Aidan Byrne
A management shakeup by CEO Bob McCann at the Americas brokerage unit of Swiss bank UBS AG will see two of his top executives assume more direct responsibility over its financial advisors, according to people familiar with the changes....
Mar 26, 2012
By Diana Britton
What’s in a name? These ETFs share one thing in common: snazzy sounding names that don’t reflect what the funds actually invest in....
Mar 23, 2012
By Diana Britton
Cabot Lodge Securities, a newly formed office of supervisory jurisdiction of Allied Beacon Partners, plans to open three new offices on the East Coast over the next couple months. Stephen Rooney, vice president of national sales, training and recruiting, hopes to get to 100 advisors by the end of this year, and 300 by 2014. ...
Mar 23, 2012
By David Trainer
My top-rated mutual fund is GMO Trust: GMO Quality Fund (GQLOZ). It is one of only four funds (out of 7400+) to get my Very Attractive rating. It gets my top rating because 68% of the fund is in Attractive-or-better rated stocks and none of the fund is in Dangerous-or-worse rated stocks. My report has all details....
Mar 23, 2012
By Jonathan Moreland
A busted IPO, an attractive business model, and broad-based insider buying are the pillars in place for Carbonite (CARB: Nasdaq). Shares are attractive by a variety of metrics, possibly due to understandable competitive concerns. But we spot value, and have followed insiders into these beaten-down shares....
Mar 23, 2012
By Diana Britton
The decision to put the b/d on the block took many by surprise. So will Woodbury’s reps stick around to find out who the new owner will be? ...
Mar 22, 2012
By Kristen French
Looking for the sweet spot? You will likely find it among a group McKinsey & Company is calling the Core Millionaires, the 4.2 million households in the U.S. with between $1 million and $10 million in assets....
Mar 22, 2012
By Stephen Boswell & Kevin Nichols
When it comes to social media, advisors have a resounding question, “How do we actually use it and how do we get value from it?” We decided to answer this question by giving you real ways our clients use social media every day... ...
Mar 21, 2012
By Diana Britton
Insurance giant The Hartford announced today that it will exit the annuity business and sell off its life insurance, retirement plan and independent broker/dealer (Woodbury Financial Services) units. ...
Mar 21, 2012
By Mitchell Kauffman
As more Baby Boomers approach their Golden Years they are faced with a plethora of challenges. Especially for those with greater resources, the issues can be formidable. To the extent that these are effectively addressed, the promise of those Golden Years can be more readily achieved with less stress both during and after the transition....
Mar 21, 2012
By David Trainer
My ratings on ETFs are unique because they are based on my stock ratings for each of a fund’s holdings....
Mar 21, 2012
By Diana Britton
The SEC accuses financial services firms of “unconstructive disengagement” when it comes to further proposed regulations for money market funds. ...
Mar 21, 2012
By David A. Geracioti, Editor-in-Chief
Last week the iShares Barclays 20 Year Treasury ETF (Ticker: TLT), which tracks longer-dated paper, fell by 4.1% in the week. ...
