October 2014

Keeping It In-House

by Jeff Schlegel

Halbert Hargrove includes thirtysomething staffers in its leadership transition plans.

The Next Step

by Philip Palaveev

How does a firm with more than $1 billion in assets continue to grow?

Growth Through Synergy

by Roy Diliberto

Integrating other practices into your own is a lot of work, but can be worth the effort.

Going Mobile

by David Lawrence

Smartphone apps for advisors are getting better and better.

Two Bridges

by Bill Bachrach

Crossing the second relationship bridge with clients brings a big payoff.

Affluent Psychology 101

by ,

Affluent personalities vary dramatically. You need to tailor the way you communicate with them.

The Thriving RIA


Top performers show remarkable focus and common attributes in three key areas.

Options Still Lucrative


Advisors are key in helping clients handle options and avoid mistakes.

Racing Ahead


Big broker-dealers continue to improve their platforms for advisors with better navigation, client information and mobile apps.

Global Growth Spurt


Rising infrastructure spending is adding investing opportunities all over the map.

Thinking Defense


A slew of long-short funds hit the market as investors brace for a possible market downturn.

Energy Renaissance


Gregory Reid specialized in MLP investments early on and is now reaping rewards for shareholders.

Dangerous Minefields


Millions of homeowners may default on home equity lines.

Is The Party Growing Old For VUL?


These life insurance policies have benefited greatly from the bull market, but questions remain.

Likelihood Of Confusion


People still don’t ultimately know what they will get when they work with a financial planner.

Old Age May Be The Next Central Bank Problem

by FA Staff

The graying of the world threatens to undermine the economies and inflation outlooks central bankers are charged with managing.

Tax In 5-D

by Eric Reiner

Advisors have lots of ways to help clients with year-end planning.

Advisor Emporium

Guardian Offers Student Loan Coverage

by FA Staff

The Guardian Life Insurance Co. is offering coverage for people concerned about being able to pay student loans if they become ill and can’t work.

Editor's Note

The Wrong Story

by Evan Simonoff

What makes the transitions at both firms all the more remarkable is that they had a few senior principals well into their 60s or older who controlled 50% of the equity or more.

Frontline News

Why So Few Advisors Have Succession Plans

by Jeff Schlegel

Dealing with succession can be stressful and time consuming, and finding a firm’s proper proper valuation is key.

RIA M&A Continues Strong Showing

by Karen DeMasters

Mergers and acquisitions are still going strong, Schwab says, even though many financial advisor firm owners are leaning toward internal succession plans.

Edward Jones Targets Wirehouse Advisors

by FA Staff

The brokerage firm has expanded its hiring pool by recruiting wirehouse advisors.

Will There Be Enough ESG Opportunities To Meet Demand?

by FA Staff

According to Cerulli, investors might be showing greater interest in responsible investing, but asset managers evidently are less enthused.

Aging Population Stresses Real Estate

by Karen DeMasters

The U.S. can’t meet the housing needs of the booming aging population, warns a recent study.

How To Stand Out

by Dan Jamieson

Advisors all make the same promises, say investors in a Pershing survey, so it's hard to tell them apart.