Nerd's Eye View
APRIL 7, 2023
Also in industry news this week: FINRA has announced that, on the heels of its first enforcement action under the Reg BI rules, it will be ramping up its examinations of broker-dealers for potential violations (after a long period of relative leniency when firms were still determining how best to comply with the rule) A recent study from Ameriprise (..)
Nerd's Eye View
SEPTEMBER 18, 2023
Notably, though, at 4 employees and beyond, the number of clients per lead advisor tends to go down from its peak of 96, as teams at this size typically begin to add another lead advisor. Advisors who have never hired before may have little idea of what to expect once they do decide to hire.
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CFO News Room
NOVEMBER 14, 2022
She is the co-founder and President of Journey Strategic Wealth, a Registered Investment Adviser built for advisors seeking independence and full-fledged practice management support. She currently runs a weekly YouTube series called “Practice Management with Penny.”. How would you prioritize them?
Nerd's Eye View
AUGUST 26, 2022
Also in industry news this week: An industry survey suggests that advisory firms are prioritizing growth despite a slower pace of client acquisitions so far in 2022 and rising labor costs. How Charles Schwab and other advisor custodians are competing to offer a more seamless digital onboarding experience for advisors and their clients.
Nerd's Eye View
AUGUST 26, 2022
Also in industry news this week: An industry survey suggests that advisory firms are prioritizing growth despite a slower pace of client acquisitions so far in 2022 and rising labor costs. How Charles Schwab and other advisor custodians are competing to offer a more seamless digital onboarding experience for advisors and their clients.
CFO News Room
DECEMBER 27, 2022
But no sooner did I start helping people in this layoff situation, I realized, number one, you gotta have empathy. I’ve been to well over 600, almost 700…I’m loose with my numbers here, but over 700 companies in the last 20 years, if not more. You’ve gotta have a deep empathy. Michael: Yeah. John: Yeah.
CFO News Room
DECEMBER 20, 2022
Because I know a number of firms that do have some amount of 401(k) business do have a wealth offering and have struggled to figure out how to systematically or efficiently get clients to switch over, or move over, or cross over when it’s appropriate for them to do so. .” Michael: Interesting.
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