The Practice: Succession planning

Should FAs Be Tested for Cognitive Decline?

August 8, 2022No Comments

“None of us is immune from capacity issues down the line,” according to Kyle Witschen, director of compliance at Raymond James.

Clients Asked About FA's Retirement Plans. He Eased Their Minds

August 2, 2022No Comments

“I wanted them to know that if anything happens to me, they have someone I trusted to take care of them moving forward,” according to Ameriprise Financial advisor Michael Carretta.

Schwab Gaining More Assets from Smaller RIAs

July 29, 2022No Comments

Registered investment advisor firms with less than $500 million in client assets have been contributing the most to Charles Schwab’s net new assets under custody.

Being the New Kid on the Block Has Its Benefits

July 22, 2022No Comments

The financial advising industry is getting a makeover, one advisor says, thanks in large part to a new generation of advisors.

Successions Must ‘Look Like Synchronized Swimming’

July 21, 2022No Comments

Building a succession plan involves four steps, according to Bev Flaxington, co-founder of consulting firm The Collaborative.

RIA M&As in First Half: Record Number of Deals, Less Assets

July 12, 2022No Comments

Strategic acquirers and consolidators, including Creative Planning, Mercer Advisors and Beacon Pointe Advisors, continue their dominance in the deals, according to Echelon Partners.

UBS’ Ralph Hamers: Eco-Friendly Banker Who Backs Hybrid Working

July 7, 2022No Comments

The 29-year veteran of ING Bank took the reins of Swiss banking giant UBS in 2020.

Video: Inside SPDR’s Web of Practice Support for FAs

No Comments

State Street SPDR ETFs’ distribution chief, Sue Thompson, explains how its SPDR One program is makes the leap from providing products to giving tools and resources to independent advisors for building a bigger business.

How State Street Measures Success of New Advisor Program

July 7, 2022No Comments

The firm looks at net promoter scores and advisor engagement with the firm as measures of success for its new SPDR One business-development program, says Sue Thompson, head of SPDR Americas distribution.

Dakota Wealth to Add $265M Wealth Mgmt Practice

July 6, 2022No Comments

The latest addition is Billings, Montana-based Loveless Wealth Management.