Added on September 2015 in Form an RIA
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Summary: Independent financial-advice firms have seen tremendous growth recently — but it appears to be due to bigger advisor headcount at existing firms rather than from new-firm creation, writes InvestmentNews. On-staff FAs now outnumber advisor-owners, but earn only slightly more than two years ago, according to the newspaper.
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Summary: In his 2007 book “Blink,” Malcolm Gladwell combines a broad spectrum of research to make the case for the power of first impressions. One of his quoted sources is relationship counselor John Gottman, who penned “The Science of Trust” and other books on human relationships. Gladwell focused on Gottman's “four horsemen of the apocalypse” behaviors as strong predictors of how a relationship will work out. Unfortunately, according to Gottman himself, Gladwell got it wrong.
Added on September 2015 in M&A Issues
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Summary: Mergers and acquisition activity among registered investment advisers may be a lagging market indicator as market growth finally seems to be boosting the number and size of deals in the channel.
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Summary: Financial-advice professionals continue to debate the merits and disadvantages of various compensation models. But what’s really at stake is consumer trust, ThinkAdvisor writes, in an article reprinted from Investment Advisor magazine. And in order to gain it, advisors need to focus on fee transparency regardless of how they collect.
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Summary: Attempts to describe the shortage of next-generation financial advisors veer toward the dramatic: “Desperate Need,” Forbes reports. “Firms Struggle,” CNBC declares. “Dangerous Stockbroker Shortage Threatens America,” warns The Wall Street Journal.
