The Adviser Center

Tools for Transition

    Broker recruitment bonuses on DOL's radar

    Agency concerned about brokers who sell out client positions at old firm and generate commissions at new firm when they recreate investment portfolios

    How the DOL fiduciary rule could affect financial adviser recruiting

    Here are some ramifications the new rule may have on adviser movement in the industry

    SEC approves Finra broker-compensation rule

    The rule requires transferring brokers to send an educational communication to clients they are trying to convince to make the move with them

    Make your move

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    BCG Securities, Inc.

    Cherry Hill, NJ

    Cetera Advisors

    Denver, CO

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    RIA Data Center

    1Financial Engines Advisors$138,000,000,000
    2Fisher Investments$71,789,691,574
    3Chevy Chase Trust Company$25,528,177,638
    4Edelman Financial Services, LLC$17,783,062,724
    5Aperio Group$15,619,552,133
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    Advisers on the Move

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    3 tips when hiring millennials

    Advisers want to add young talent, but ask if they want to add millennials and most will begin to squirm. Hunter Hart, and Marc Schliefer of Equity Planning Inc. disspell some myths and misconceptions of hiring millennials.

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    The Search for Income

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    Latest news & opinion

    How does your advisory firm stack up?

    Comparing a firm's pay to the competition can point out vast flaws.

    10 signs your client is cheating on you

    Sure signs that clients may be on the way out the door.

    Morgan Stanley sees slower fee-based asset flows on fiduciary rule delay

    Flows to advisory accounts, while still higher than the start of 2016, dropped off more than 20% from Q2 and were the lowest in a year.

    How adviser salaries stack up to other jobs

    Median compensation hovers just under $100,000 on the low end and reaches nearly $300,000 for bosses.

    Finra ranking brokers in effort to crack down on industry's bad apples

    All 634.403 reps have been ranked based on factors such as prior regulatory disclosures, disciplinary actions and employment history.