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WELSCH
Best advisor pay for the $600K producer. Breaking down advisor compensation plans can be daunting business.. But it’s a crucialcomponent when
RESTRICTING THE STEP-UP IN BASIS TAX LOOPHOLE WOULD HIT Biden wants to end the basis “step-up" for individuals who inherit assets with untaxed gains of more than $1 million ($2.5 million for couples).Data show, and advisors say, that the change would GO DIGITAL OR PERISH: 4 REASONS WHY THE ADVISORY TECH We hear it a lot these days: COVID-19 isn’t over yet. And indeed, after more than a year of advisors picking up the pace on digital adoption just to keep the lights on, the industry continues toINVEST 2021
Presented by Financial Planning, the full INVEST series experience will offer a comprehensive, hyper-relevant overview of the wealth management industry like never before. This is your opportunity to network, gain the most powerful insights and stay engaged throughout the year by joining your community and its thought leaders for bothevents.
GOING INDEPENDENT: WHAT LIES AHEAD? There’s more than one way to go independent. Which route is the right one depends on what the advisor is looking for: resources or control. “Larger firms will tend to provide better resources. WORST MUTUAL FUND OUTFLOWS OVER 15 YEARS The 20 mutual funds with the biggest net outflows of the past 15 years, and at least $100 million in assets under management, shed nearly $793.4 billion over the period, Morningstar Direct data MEASURING THE BENEFITS OF A HIGH STAFF-TO-CLIENT RATIO Measuring the Benefits of a High Staff-to-Client Ratio. Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & BEST ADVISOR PAY FOR THE $2M PRODUCER AT BROKER-DEALERS On Wall Street continues its annual analysis of base pay for advisors by looking at payout rates for those with $2 million in production.. For our analysis of other categories, please see below SOLUTIONS FOR RETAINING ASSETS AFTER A CLIENT DIES You learn how to talk to them or hire a professional. There are people out there who are trained in these issues and my client is a pro, in fact she is one of the chosen few who can handle really J.P. MORGAN EXPANDS ITS PRIVATE BANK INTO SALT LAKE CITY J.P. Morgan’s Private Bank unit has tapped Utah as its newest region for growth as it moves forward on its plan to open 20 new offices across the U.S. over the next four years. With the addition BEST ADVISOR PAY FOR THE $600K PRODUCER 2021 EDITIONAUTHOR: ANDREWWELSCH
Best advisor pay for the $600K producer. Breaking down advisor compensation plans can be daunting business.. But it’s a crucialcomponent when
RESTRICTING THE STEP-UP IN BASIS TAX LOOPHOLE WOULD HIT Biden wants to end the basis “step-up" for individuals who inherit assets with untaxed gains of more than $1 million ($2.5 million for couples).Data show, and advisors say, that the change would GO DIGITAL OR PERISH: 4 REASONS WHY THE ADVISORY TECH We hear it a lot these days: COVID-19 isn’t over yet. And indeed, after more than a year of advisors picking up the pace on digital adoption just to keep the lights on, the industry continues toINVEST 2021
Presented by Financial Planning, the full INVEST series experience will offer a comprehensive, hyper-relevant overview of the wealth management industry like never before. This is your opportunity to network, gain the most powerful insights and stay engaged throughout the year by joining your community and its thought leaders for bothevents.
GOING INDEPENDENT: WHAT LIES AHEAD? There’s more than one way to go independent. Which route is the right one depends on what the advisor is looking for: resources or control. “Larger firms will tend to provide better resources. WORST MUTUAL FUND OUTFLOWS OVER 15 YEARS The 20 mutual funds with the biggest net outflows of the past 15 years, and at least $100 million in assets under management, shed nearly $793.4 billion over the period, Morningstar Direct data MEASURING THE BENEFITS OF A HIGH STAFF-TO-CLIENT RATIO Measuring the Benefits of a High Staff-to-Client Ratio. Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & BEST ADVISOR PAY FOR THE $2M PRODUCER AT BROKER-DEALERS On Wall Street continues its annual analysis of base pay for advisors by looking at payout rates for those with $2 million in production.. For our analysis of other categories, please see below SOLUTIONS FOR RETAINING ASSETS AFTER A CLIENT DIES You learn how to talk to them or hire a professional. There are people out there who are trained in these issues and my client is a pro, in fact she is one of the chosen few who can handle really J.P. MORGAN EXPANDS ITS PRIVATE BANK INTO SALT LAKE CITY J.P. Morgan’s Private Bank unit has tapped Utah as its newest region for growth as it moves forward on its plan to open 20 new offices across the U.S. over the next four years. With the addition FINANCIAL PLANNING HOMEPAGE Get Financial Planning's breaking and daily news coverage on topics including RIAs, practice management, financial planning news & insights from industry experts. $2.8B OSJ LEVEL FOUR ACQUIRES HARBOR, CEO LEAVES LPL 17 hours ago · The Dallas-based hybrid RIA has more than 100 reps, and, if they follow the chief’s exit, it would be the the No. 1 IBD’s largest loss since 2019. CENTAURUS FINANCIAL TO PAY $1.3M TO SETTLE SEC DISCLOSURE 1 day ago · More than a year after the end of a controversial SEC self-reporting program, a midsize wealth manager that didn’t participate has settled the regulator’s case against it. CentaurusFinancial
EVEN WITH A 15-YEAR WINDOW TO PAY TAXES, A NEAR-DOUBLING Even with a 15-year window to pay taxes, a near-doubling of the capital gains rate and the elimination of the step-up in basis loophole will make a sale expensive. EX-AMERIPRISE ASSOCIATE STEPHANIE HENNINGER FILES LAWSUIT 16 hours ago · A former registered client associate for one of the largest wealth managers alleges two financial advisors sexually harassed her and the company retaliated PRINCIPAL TO SHUT DOWN ROBUSTWEALTH’S ADVISOR-FACING 12 hours ago · RobustWealth was founded by Mike Kerins in 2015. The firm provides several of the functions of other white-labeled robo advisors, including automated investing and WORST-PERFORMING ACTIVELY MANAGED FUNDS OF 2020 POST 30% Analysis of the 20 worst-performing actively managed products of 2020 — with at least $100 million in assets — shows a more than 30%decline
VIRGINIA BEACH DUO JOIN RAYMOND JAMES AND ASSOCIATES AFTER 12 hours ago · A two-advisor team managing $975 million at Truist has joined Raymond James’ employee channel. Advisors John Gill andBryan Horner were
DONOR-ADVISED FUNDS AREN’T JUST FOR AFFLUENT INVESTORS But for mass-affluent investors, donor advised funds (DAFs) can offer a practical and advantageous alternative to writing individual checks in response to a direct mail appeal. WHICH PERFORMANCE MEASURE IS MOST RELEVANT? Which performance measure is most relevant? Ironically, the standard industry assumption of a lump-sum investment is arguably the leastcommon way to
BEST ADVISOR PAY FOR THE $600K PRODUCER 2021 EDITIONAUTHOR: ANDREWWELSCH
Best advisor pay for the $600K producer. Breaking down advisor compensation plans can be daunting business.. But it’s a crucialcomponent when
RESTRICTING THE STEP-UP IN BASIS TAX LOOPHOLE WOULD HIT Biden wants to end the basis “step-up" for individuals who inherit assets with untaxed gains of more than $1 million ($2.5 million for couples).Data show, and advisors say, that the change would GO DIGITAL OR PERISH: 4 REASONS WHY THE ADVISORY TECH We hear it a lot these days: COVID-19 isn’t over yet. And indeed, after more than a year of advisors picking up the pace on digital adoption just to keep the lights on, the industry continues toINVEST 2021
Presented by Financial Planning, the full INVEST series experience will offer a comprehensive, hyper-relevant overview of the wealth management industry like never before. This is your opportunity to network, gain the most powerful insights and stay engaged throughout the year by joining your community and its thought leaders for bothevents.
GOING INDEPENDENT: WHAT LIES AHEAD? There’s more than one way to go independent. Which route is the right one depends on what the advisor is looking for: resources or control. “Larger firms will tend to provide better resources. WORST MUTUAL FUND OUTFLOWS OVER 15 YEARS The 20 mutual funds with the biggest net outflows of the past 15 years, and at least $100 million in assets under management, shed nearly $793.4 billion over the period, Morningstar Direct data MEASURING THE BENEFITS OF A HIGH STAFF-TO-CLIENT RATIO Measuring the Benefits of a High Staff-to-Client Ratio. Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & BEST ADVISOR PAY FOR THE $2M PRODUCER AT BROKER-DEALERS On Wall Street continues its annual analysis of base pay for advisors by looking at payout rates for those with $2 million in production.. For our analysis of other categories, please see below SOLUTIONS FOR RETAINING ASSETS AFTER A CLIENT DIES You learn how to talk to them or hire a professional. There are people out there who are trained in these issues and my client is a pro, in fact she is one of the chosen few who can handle really J.P. MORGAN EXPANDS ITS PRIVATE BANK INTO SALT LAKE CITY J.P. Morgan’s Private Bank unit has tapped Utah as its newest region for growth as it moves forward on its plan to open 20 new offices across the U.S. over the next four years. With the addition BEST ADVISOR PAY FOR THE $600K PRODUCER 2021 EDITIONAUTHOR: ANDREWWELSCH
Best advisor pay for the $600K producer. Breaking down advisor compensation plans can be daunting business.. But it’s a crucialcomponent when
RESTRICTING THE STEP-UP IN BASIS TAX LOOPHOLE WOULD HIT Biden wants to end the basis “step-up" for individuals who inherit assets with untaxed gains of more than $1 million ($2.5 million for couples).Data show, and advisors say, that the change would GO DIGITAL OR PERISH: 4 REASONS WHY THE ADVISORY TECH We hear it a lot these days: COVID-19 isn’t over yet. And indeed, after more than a year of advisors picking up the pace on digital adoption just to keep the lights on, the industry continues toINVEST 2021
Presented by Financial Planning, the full INVEST series experience will offer a comprehensive, hyper-relevant overview of the wealth management industry like never before. This is your opportunity to network, gain the most powerful insights and stay engaged throughout the year by joining your community and its thought leaders for bothevents.
GOING INDEPENDENT: WHAT LIES AHEAD? There’s more than one way to go independent. Which route is the right one depends on what the advisor is looking for: resources or control. “Larger firms will tend to provide better resources. WORST MUTUAL FUND OUTFLOWS OVER 15 YEARS The 20 mutual funds with the biggest net outflows of the past 15 years, and at least $100 million in assets under management, shed nearly $793.4 billion over the period, Morningstar Direct data MEASURING THE BENEFITS OF A HIGH STAFF-TO-CLIENT RATIO Measuring the Benefits of a High Staff-to-Client Ratio. Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & BEST ADVISOR PAY FOR THE $2M PRODUCER AT BROKER-DEALERS On Wall Street continues its annual analysis of base pay for advisors by looking at payout rates for those with $2 million in production.. For our analysis of other categories, please see below SOLUTIONS FOR RETAINING ASSETS AFTER A CLIENT DIES You learn how to talk to them or hire a professional. There are people out there who are trained in these issues and my client is a pro, in fact she is one of the chosen few who can handle really J.P. MORGAN EXPANDS ITS PRIVATE BANK INTO SALT LAKE CITY J.P. Morgan’s Private Bank unit has tapped Utah as its newest region for growth as it moves forward on its plan to open 20 new offices across the U.S. over the next four years. With the addition FINANCIAL PLANNING HOMEPAGE Get Financial Planning's breaking and daily news coverage on topics including RIAs, practice management, financial planning news & insights from industry experts. $2.8B OSJ LEVEL FOUR ACQUIRES HARBOR, CEO LEAVES LPL 15 hours ago · The Dallas-based hybrid RIA has more than 100 reps, and, if they follow the chief’s exit, it would be the the No. 1 IBD’s largest loss since 2019. CENTAURUS FINANCIAL TO PAY $1.3M TO SETTLE SEC DISCLOSURE 1 day ago · More than a year after the end of a controversial SEC self-reporting program, a midsize wealth manager that didn’t participate has settled the regulator’s case against it. CentaurusFinancial
EVEN WITH A 15-YEAR WINDOW TO PAY TAXES, A NEAR-DOUBLING Even with a 15-year window to pay taxes, a near-doubling of the capital gains rate and the elimination of the step-up in basis loophole will make a sale expensive. EX-AMERIPRISE ASSOCIATE STEPHANIE HENNINGER FILES LAWSUIT 15 hours ago · A former registered client associate for one of the largest wealth managers alleges two financial advisors sexually harassed her and the company retaliated PRINCIPAL TO SHUT DOWN ROBUSTWEALTH’S ADVISOR-FACING 10 hours ago · RobustWealth was founded by Mike Kerins in 2015. The firm provides several of the functions of other white-labeled robo advisors, including automated investing and WORST-PERFORMING ACTIVELY MANAGED FUNDS OF 2020 POST 30% Analysis of the 20 worst-performing actively managed products of 2020 — with at least $100 million in assets — shows a more than 30%decline
VIRGINIA BEACH DUO JOIN RAYMOND JAMES AND ASSOCIATES AFTER 11 hours ago · A two-advisor team managing $975 million at Truist has joined Raymond James’ employee channel. Advisors John Gill andBryan Horner were
DONOR-ADVISED FUNDS AREN’T JUST FOR AFFLUENT INVESTORS But for mass-affluent investors, donor advised funds (DAFs) can offer a practical and advantageous alternative to writing individual checks in response to a direct mail appeal. WHICH PERFORMANCE MEASURE IS MOST RELEVANT? Which performance measure is most relevant? Ironically, the standard industry assumption of a lump-sum investment is arguably the leastcommon way to
FINANCIAL PLANNING HOMEPAGE Get Financial Planning's breaking and daily news coverage on topics including RIAs, practice management, financial planning news & insights from industry experts. EX-LPL ADVISOR JAMES K. COUTURE TO PLEAD GUILTY TO FRAUD An ex-LPL Financial advisor accused of misappropriating millions from clients faces up to 7 ½ years in prison if a plea deal with prosecutors receives approval in federal court. James K. Couture RESTRICTING THE STEP-UP IN BASIS TAX LOOPHOLE WOULD HIT Biden wants to end the basis “step-up" for individuals who inherit assets with untaxed gains of more than $1 million ($2.5 million for couples).Data show, and advisors say, that the change would BEST ADVISOR PAY FOR THE $600K PRODUCER 2021 EDITIONAUTHOR: ANDREWWELSCH
Best advisor pay for the $600K producer. Breaking down advisor compensation plans can be daunting business.. But it’s a crucialcomponent when
INVEST 2021
Presented by Financial Planning, the full INVEST series experience will offer a comprehensive, hyper-relevant overview of the wealth management industry like never before. This is your opportunity to network, gain the most powerful insights and stay engaged throughout the year by joining your community and its thought leaders for bothevents.
WORST MUTUAL FUND OUTFLOWS OVER 15 YEARS The 20 mutual funds with the biggest net outflows of the past 15 years, and at least $100 million in assets under management, shed nearly $793.4 billion over the period, Morningstar Direct data MEASURING THE BENEFITS OF A HIGH STAFF-TO-CLIENT RATIO Measuring the Benefits of a High Staff-to-Client Ratio. Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & 10 KEYS TO BECOMING (AND REMAINING) A SUCCESSFUL FINANCIAL Delegation is not a sign of weakness; it is a sign of intelligence. Delegation is not losing control; it is a sign of real control. 9. Have a Brand. Top advisors have the best brand they can sell SOLUTIONS FOR RETAINING ASSETS AFTER A CLIENT DIES You learn how to talk to them or hire a professional. There are people out there who are trained in these issues and my client is a pro, in fact she is one of the chosen few who can handle really FINANCIAL ADVISORS DISCUSS CLIENT STRATEGIES FOR DIFFICULT Email. As both an advisor and therapist, Susan Zimmerman thinks a lot about handling tough conversations with clients — and how todissuade
FINANCIAL PLANNING HOMEPAGE Get Financial Planning's breaking and daily news coverage on topics including RIAs, practice management, financial planning news & insights from industry experts. EX-LPL ADVISOR JAMES K. COUTURE TO PLEAD GUILTY TO FRAUD An ex-LPL Financial advisor accused of misappropriating millions from clients faces up to 7 ½ years in prison if a plea deal with prosecutors receives approval in federal court. James K. Couture RESTRICTING THE STEP-UP IN BASIS TAX LOOPHOLE WOULD HIT Biden wants to end the basis “step-up" for individuals who inherit assets with untaxed gains of more than $1 million ($2.5 million for couples).Data show, and advisors say, that the change would BEST ADVISOR PAY FOR THE $600K PRODUCER 2021 EDITIONAUTHOR: ANDREWWELSCH
Best advisor pay for the $600K producer. Breaking down advisor compensation plans can be daunting business.. But it’s a crucialcomponent when
INVEST 2021
Presented by Financial Planning, the full INVEST series experience will offer a comprehensive, hyper-relevant overview of the wealth management industry like never before. This is your opportunity to network, gain the most powerful insights and stay engaged throughout the year by joining your community and its thought leaders for bothevents.
WORST MUTUAL FUND OUTFLOWS OVER 15 YEARS The 20 mutual funds with the biggest net outflows of the past 15 years, and at least $100 million in assets under management, shed nearly $793.4 billion over the period, Morningstar Direct data MEASURING THE BENEFITS OF A HIGH STAFF-TO-CLIENT RATIO Measuring the Benefits of a High Staff-to-Client Ratio. Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & 10 KEYS TO BECOMING (AND REMAINING) A SUCCESSFUL FINANCIAL Delegation is not a sign of weakness; it is a sign of intelligence. Delegation is not losing control; it is a sign of real control. 9. Have a Brand. Top advisors have the best brand they can sell SOLUTIONS FOR RETAINING ASSETS AFTER A CLIENT DIES You learn how to talk to them or hire a professional. There are people out there who are trained in these issues and my client is a pro, in fact she is one of the chosen few who can handle really FINANCIAL ADVISORS DISCUSS CLIENT STRATEGIES FOR DIFFICULT Email. As both an advisor and therapist, Susan Zimmerman thinks a lot about handling tough conversations with clients — and how todissuade
THE 20 BEST-PAYING PLACES FOR ADVISORS Average earnings, two-year change in pay, and housing costs in relation to what advisors earn are just some of the factors taken into account in a recent report. EVEN WITH A 15-YEAR WINDOW TO PAY TAXES, A NEAR-DOUBLING Even with a 15-year window to pay taxes, a near-doubling of the capital gains rate and the elimination of the step-up in basis loophole will make a sale expensive. WEALTH ENHANCEMENT GROUP TO BUY HOOVER FINANCIAL ADVISORS 1 day ago · Wealth Enhancement buys some practices with less than $500 million in AUM, but its main targets have between $1 billion and $3 billion and have been GO DIGITAL OR PERISH: 4 REASONS WHY THE ADVISORY TECH We hear it a lot these days: COVID-19 isn’t over yet. And indeed, after more than a year of advisors picking up the pace on digital adoption just to keep the lights on, the industry continues to CENTAURUS FINANCIAL TO PAY $1.3M TO SETTLE SEC DISCLOSURE 10 hours ago · More than a year after the end of a controversial SEC self-reporting program, a midsize wealth manager that didn’t participate has settled the regulator’s case against it. CentaurusFinancial
UBS, BLACKROCK, MORGAN STANLEY JOIN CORPORATE CALL TO A state treasurer’s program in collaboration with the Ford Foundation has attracted 18 firms including UBS, BlackRock, Morgan Stanley, Citi and Goldman Sachs. BNY MELLON’S PERSHING LAUNCHES MULTI-CUSTODIAL MANAGED 1 day ago · At BNY Mellon Pershing’s annual INSITE conference, held virtually this week, the custodian revealed a new multi-custodial managed accounts software for financial advisors and an integration AITE GROUP GIVES AWARDS TO MERRILL LYNCH, AMERIPRISE 1 day ago · Merrill Lynch, Ameriprise Financial, and Hightower Advisors are on the list for the 2021 Digital Wealth Management ImpactInnovation Awards
MASSMUTUAL RELEASES NEW ADVISOR TECHNOLOGY MORE THAN TWO 1 day ago · Massachusetts Mutual Life Insurance Company is finally bringing to market the next-generation advisor software it firstannounced more than
ADVISORS UNDERESTIMATE WOMEN CLIENTS AT THEIR PERIL It’s a wealth management paradox. Women currently control $10 trillion of wealth in the U.S., an amount expected to triple by the end of the decade. Why, then, does the advisory industry tend to FINANCIAL PLANNING HOMEPAGE Get Financial Planning's breaking and daily news coverage on topics including RIAs, practice management, financial planning news & insights from industry experts. CE QUIZ | FINANCIAL PLANNINGFP EVENTSABOUT USCONTACT USFP MAGAZINE Read the latest from Financial Planning magazine including stories on RIAs, retirement planning, practice management, investments & insights from industry experts. GOING INDEPENDENT: WHAT LIES AHEAD? There’s more than one way to go independent. Which route is the right one depends on what the advisor is looking for: resources or control. “Larger firms will tend to provide better resources. BEST ADVISOR PAY FOR THE $600K PRODUCER 2021 EDITION Best advisor pay for the $600K producer. Breaking down advisor compensation plans can be daunting business.. But it’s a crucialcomponent when
LYNNLEY BROWNING, REPORTER, FINANCIAL PLANNING Lynnley Browning is a reporter for Financial Planning. Follow her on Twitter at @BrowningLynnley. Consumers. Advisors have a serious trust problem with consumers, research shows. Here’s why and WHICH PERFORMANCE MEASURE IS MOST RELEVANT? Which performance measure is most relevant? Ironically, the standard industry assumption of a lump-sum investment is arguably the leastcommon way to
MUST REGISTERED REPS DOCUMENT VIDEOCONFERENCES WITH A: FINRA has a wealth of information on its website dealing with issues that have arisen due to the COVID-19 pandemic. As to your specific question, FINRA has said that members must still MEASURING THE BENEFITS OF A HIGH STAFF-TO-CLIENT RATIO Measuring the Benefits of a High Staff-to-Client Ratio. Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & MUTUAL FUNDS WITH VALUE STRATEGY RANKED BY BEST 3-YEAR Despite concerns that value and growth strategies have become outdated, it turns out the top-performing value mutual funds bested the S&P 500.Those results, however, come at a FINANCIAL PLANNING HOMEPAGE Get Financial Planning's breaking and daily news coverage on topics including RIAs, practice management, financial planning news & insights from industry experts. CE QUIZ | FINANCIAL PLANNINGFP EVENTSABOUT USCONTACT USFP MAGAZINE Read the latest from Financial Planning magazine including stories on RIAs, retirement planning, practice management, investments & insights from industry experts. GOING INDEPENDENT: WHAT LIES AHEAD? There’s more than one way to go independent. Which route is the right one depends on what the advisor is looking for: resources or control. “Larger firms will tend to provide better resources. BEST ADVISOR PAY FOR THE $600K PRODUCER 2021 EDITION Best advisor pay for the $600K producer. Breaking down advisor compensation plans can be daunting business.. But it’s a crucialcomponent when
LYNNLEY BROWNING, REPORTER, FINANCIAL PLANNING Lynnley Browning is a reporter for Financial Planning. Follow her on Twitter at @BrowningLynnley. Consumers. Advisors have a serious trust problem with consumers, research shows. Here’s why and WHICH PERFORMANCE MEASURE IS MOST RELEVANT? Which performance measure is most relevant? Ironically, the standard industry assumption of a lump-sum investment is arguably the leastcommon way to
MUST REGISTERED REPS DOCUMENT VIDEOCONFERENCES WITH A: FINRA has a wealth of information on its website dealing with issues that have arisen due to the COVID-19 pandemic. As to your specific question, FINRA has said that members must still MEASURING THE BENEFITS OF A HIGH STAFF-TO-CLIENT RATIO Measuring the Benefits of a High Staff-to-Client Ratio. Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & MUTUAL FUNDS WITH VALUE STRATEGY RANKED BY BEST 3-YEAR Despite concerns that value and growth strategies have become outdated, it turns out the top-performing value mutual funds bested the S&P 500.Those results, however, come at a EVEN WITH A 15-YEAR WINDOW TO PAY TAXES, A NEAR-DOUBLING 4 hours ago · Even with a 15-year window to pay taxes, a near-doubling of the capital gains rate and the elimination of the step-up in basis loophole will make a sale expensive. $1.4B CHORNYAK & ASSOCIATES LEAVES COMMONWEALTH FOR JANNEY 1 day ago · After more than 40 years in the industry for the elder Chornyak, 28 for his son and 35 for Mauk, the team became wary of the increased regulatory burden of recent years, along with tasks such as THE AGENCY IS HEADED BACK TO THE DRAWING BOARD WITH ITS 1 day ago · The agency is headed back to the drawing board with its proposed revision of how brokers get complaints removed from theirrecord.
STEWARD PARTNERS TO TRANSITION ADVISORS TO RAYMOND JAMES 19 hours ago · Steward Partners, an independent firm, announced its plans to transition its 173 advisors to Raymond James’ RIA and Custody Services as the hybrid advisory firm moves to work withmultiple
EX-CETERA ADVISOR DAVID A. ROCKWELL GETS 5 YEARS FOR FRAUD A barred former Cetera Financial Group advisor fired after an earlier arrest on stalking charges received a five-year prison sentence after pleading guilty to fraud. David A. Rockwell, 45, mustINVEST 2021
Presented by Financial Planning, the full INVEST series experience will offer a comprehensive, hyper-relevant overview of the wealth management industry like never before. This is your opportunity to network, gain the most powerful insights and stay engaged throughout the year by joining your community and its thought leaders for bothevents.
UBS, BLACKROCK, MORGAN STANLEY JOIN CORPORATE CALL TO 3 hours ago · A state treasurer’s program in collaboration with the Ford Foundation has attracted 18 firms including UBS, BlackRock, Morgan Stanley, Citi and Goldman Sachs. ADVISORS UNDERESTIMATE WOMEN CLIENTS AT THEIR PERIL It’s a wealth management paradox. Women currently control $10 trillion of wealth in the U.S., an amount expected to triple by the end of the decade. Why, then, does the advisory industry tend to FINRA | FINANCIAL PLANNING Lamborghini-driving advisor sentenced to 13-plus years for fraud liked the finer things in life. DaRayl Davis used his clients’ money to rent a fancy Hollywood mansion, purchase over $100,000 in MUST REGISTERED REPS DOCUMENT VIDEOCONFERENCES WITH A: FINRA has a wealth of information on its website dealing with issues that have arisen due to the COVID-19 pandemic. As to your specific question, FINRA has said that members must still FINANCIAL PLANNING HOMEPAGE Get Financial Planning's breaking and daily news coverage on topics including RIAs, practice management, financial planning news & insights from industry experts. CE QUIZ | FINANCIAL PLANNINGFP EVENTSABOUT USCONTACT USFP MAGAZINE Read the latest from Financial Planning magazine including stories on RIAs, retirement planning, practice management, investments & insights from industry experts. GOING INDEPENDENT: WHAT LIES AHEAD? There’s more than one way to go independent. Which route is the right one depends on what the advisor is looking for: resources or control. “Larger firms will tend to provide better resources. BEST ADVISOR PAY FOR THE $600K PRODUCER 2021 EDITION Breaking down advisor compensation plans can be daunting business.. But it’s a crucial component when figuring out which firm offers the best pay package and determining whether an LYNNLEY BROWNING, REPORTER, FINANCIAL PLANNING Lynnley Browning is a reporter for Financial Planning. Follow her on Twitter at @BrowningLynnley.TOBIAS SALINGER
Tobias Salinger is a senior editor for Financial Planning. Raymond James, LPL, Kestra, the SEC, Dynasty, Janney Montgomery Scott, Mercer Global Advisors, Adasina Social Capital, Fidelity and other WHICH PERFORMANCE MEASURE IS MOST RELEVANT? Which performance measure is most relevant? Ironically, the standard industry assumption of a lump-sum investment is arguably the leastcommon way to
BEST ADVISOR PAY FOR THE $2M PRODUCER AT BROKER-DEALERS On Wall Street continues its annual analysis of base pay for advisors by looking at payout rates for those with $2 million in production.. For our analysis of other categories, please see below MEASURING THE BENEFITS OF A HIGH STAFF-TO-CLIENT RATIO Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & Rothwell, Inc. a financial advisory firm in Overland Park, Kan. FINANCIAL PLANNING HOMEPAGE Get Financial Planning's breaking and daily news coverage on topics including RIAs, practice management, financial planning news & insights from industry experts. CE QUIZ | FINANCIAL PLANNINGFP EVENTSABOUT USCONTACT USFP MAGAZINE Read the latest from Financial Planning magazine including stories on RIAs, retirement planning, practice management, investments & insights from industry experts. GOING INDEPENDENT: WHAT LIES AHEAD? There’s more than one way to go independent. Which route is the right one depends on what the advisor is looking for: resources or control. “Larger firms will tend to provide better resources. BEST ADVISOR PAY FOR THE $600K PRODUCER 2021 EDITION Breaking down advisor compensation plans can be daunting business.. But it’s a crucial component when figuring out which firm offers the best pay package and determining whether an LYNNLEY BROWNING, REPORTER, FINANCIAL PLANNING Lynnley Browning is a reporter for Financial Planning. Follow her on Twitter at @BrowningLynnley.TOBIAS SALINGER
Tobias Salinger is a senior editor for Financial Planning. Raymond James, LPL, Kestra, the SEC, Dynasty, Janney Montgomery Scott, Mercer Global Advisors, Adasina Social Capital, Fidelity and other WHICH PERFORMANCE MEASURE IS MOST RELEVANT? Which performance measure is most relevant? Ironically, the standard industry assumption of a lump-sum investment is arguably the leastcommon way to
BEST ADVISOR PAY FOR THE $2M PRODUCER AT BROKER-DEALERS On Wall Street continues its annual analysis of base pay for advisors by looking at payout rates for those with $2 million in production.. For our analysis of other categories, please see below MEASURING THE BENEFITS OF A HIGH STAFF-TO-CLIENT RATIO Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & Rothwell, Inc. a financial advisory firm in Overland Park, Kan. $1.4B CHORNYAK & ASSOCIATES LEAVES COMMONWEALTH FOR JANNEY 10 hours ago · After more than 40 years in the industry for the elder Chornyak, 28 for his son and 35 for Mauk, the team became wary of the increased regulatory burden of recent years, along with taskssuch as
THE AGENCY IS HEADED BACK TO THE DRAWING BOARD WITH ITS 13 hours ago · The agency is headed back to the drawing board with its proposed revision of how brokers get complaints removed from theirrecord.
EX-CETERA ADVISOR DAVID A. ROCKWELL GETS 5 YEARS FOR FRAUD A barred former Cetera Financial Group advisor fired after an earlier arrest on stalking charges received a five-year prison sentence after pleading guilty to fraud. David A. Rockwell, 45, must STEWARD PARTNERS TO TRANSITION ADVISORS TO RAYMOND JAMES 5 hours ago · Steward Partners, an independent firm, announced its plans to transition its 173 advisors to Raymond James’ RIA and Custody Services as the hybrid advisory firm moves to work withmultiple
REAL ESTATE FUNDS WITH THE BEST 10-YEAR RETURNS Pitted against broader markets, the funds here have largely underperformed. Index trackers such as the SPDR S&P 500 ETF Trust andSPDR Dow Jones
INVEST 2021
2020 was a pivotal moment for the digital wealth management industry. Innovators and firms that had invested in tech were well positioned for a year of substantial growth, while late-comers were forced toplay catch-up.
ADVISORS UNDERESTIMATE WOMEN CLIENTS AT THEIR PERIL It’s a wealth management paradox. Women currently control $10 trillion of wealth in the U.S., an amount expected to triple by the end of the decade. Why, then, does the advisory industry tend to FINRA | FINANCIAL PLANNING Get the latest FINRA news on regulations, aribtration, compliance, regulatory actions and programs. HOW ADVISORS CAN REFRAME RETIREMENT FOR CLIENTS When it comes to retirement, a lot of human beings look for tricks and tips, but we should be honest with our clients approaching and entering retirement: there are really no shortcuts. In fact MUST REGISTERED REPS DOCUMENT VIDEOCONFERENCES WITH Additionally, keep in mind that FINRA also notes that “depending on the nature and number of persons attending the video meeting, these written communications may be [considered to be*
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Worst-performing small-cap funds of the decade The 20 mutual funds and ETFs on this list have an average fee of roughly 111 basis points.By Andrew Shilling
November 25
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$1B OSJ drops Securities America for LPL in latest post-M&A deal exit The No. 1 IBD is responsible for nearly half of the dozen mega-moves in its sector this year.By Tobias Salinger
November 24
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Why Janney kept its offices open As some firms closed their doors, the regional BD saw a selling point for new recruits and existing FAs in a different approach.By Jessica Mathews
November 23
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Tax-favored gift exemptions that give back — in any administration Whether the law changes next year or in 2025, wealthy clients can save by using the generous provisions now.By Ed Slott
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