Updated Thursday, October 23, 2014 as of 1:53 AM ET

Practice

The SEC plans an enforcement action against a former Wells Fargo compliance officer for altering report.  More »
Financial advisors get trained in taxes, but many times it’s just a basic framework for how to structure investments. A CPA can bring a much deeper level of understanding to a client’s tax situation.  read more »
"Our goal is to serve more customers, serve them better, and become the next financial service organization for the middle class," says Bo Lu, a former Microsoft product manager and the founder of FutureAdvisor.
Only about 20% of the mass affluent market have a financial advisor, notes FutureAdvisor CEO Bo Lu, compared with around 60% of individuals with more than $1 million in investable assets.  read more »
Global private wealth will grow 40% to $369 trillion by 2019, with more than one quarter of the growth coming from emerging markets, according to Credit Suisse Group AG.  read more »
Wall Street veteran Sallie Krawcheck is putting her name behind a new index fund that before its re-launch suffered dismal long-term performance. Will advisors be interested?  read more »
Community banks and credit unions need to recognize and tout the distinct advantages they offer advisors as they compete with bigger financial institutions for top talent, says Frank Smith, vice president of Recruitment at LPL Financial Institution Services.  read more »
As advisors look to mergers and acquisitions to fuel growth strategies and succession plans, firms need to look beyond the transaction itself and think strategically about how a combined firm will operate, experts said this week at the FSI's financial advisor summit.  read more »
Connecting With Clients' Children
The October Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

October 27, 2014 | The Mandarin Oriental, Boston

November 4, 2014 |

December 2, 2014 |

January 19, 2015 |

January 26, 2015 |

Already a subscriber? Log in here