A new report finds that large independent broker-dealer firms – those with $10 billion+ in assets – are helping to shape the IBD channel into a concentration of a small number of large firms.Year-to-... Read More
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Practice Management
BY NAPA Net Staff | 9/21/2017
CAPTRUST has expanded its reach with the addition of Davidson & Garrard (D&G), a registered investment advisor based in Lynchburg, VA.The announcement comes less than a month after the... Read More
BY John Iekel | 9/8/2017
Hurricanes, epic floods, wildfires… we seem to be awash in natural disasters. They pose many dangers and risks, including the threat they can pose to a retirement plan — and, ultimately, its... Read More
BY Ted Godbout | 8/11/2017
While growth in clients and assets under management (AUM) was relatively healthy and income-related metrics were largely favorable for advisory firms in 2016, revenue per team member failed to... Read More
BY Ted Godbout | 7/18/2017
While firms of all sizes experienced growth, the fastest-growing RIA firms paired referrals with comprehensive marketing strategies, attracting new client assets at 2.4 times the rate of all other... Read More
BY NAPA Net Staff | 7/14/2017
LPL Financial LLC has announced details of what it calls its “industry-first” mutual fund only (MFO) platform.According to a press release, the platform is being designed to offer investors enhanced... Read More
BY NAPA Net Staff | 6/28/2017
As the retirement advisor industry readies for the most significant change in a generation, the nation’s largest independent broker/dealer has unveiled a new organizational model.The firm says the... Read More
BY NAPA Net Staff | 6/21/2017
Small plans frequently have big service needs, and a special National Association of Plan Advisors task force has developed a template designed to make it easier for advisors to obtain a consistent,... Read More
BY Ted Godbout | 6/8/2017
Mergers and acquisitions of registered investment advisor firms realized a record start during the first quarter of 2017, with 44 transactions executed, according to research conducted by DeVoe... Read More
BY NAPA Net Staff | 6/8/2017
In the wake of the "WannaCry" ransomware attack last month, the Securities and Exchange Commission found a wide range of information security practices, procedures and controls among broker-dealers,... Read More
BY NAPA Net Staff | 6/8/2017
Cetera Financial Group has announced the upcoming launch of Decipher, new facial recognition software solution to help Cetera-affiliated financial advisors gain far deeper insights into client... Read More
BY Steff Chalk | 5/17/2017
Robo-advisers receive a lot of ink/digitized news space today. Plan sponsors are confused. Plan sponsors who have been at the helm of their qualified plan over the last 20 years have observed... Read More
BY John Ortman | 3/21/2017
In a March 19 “super session” on establishing your value proposition at the 2017 NAPA 401(k) Summit, moderator Tom Kmak of Fiduciary Benchmarks used the conference app to poll the standing-room-only... Read More
BY John Iekel | 3/21/2017
The DOL fiduciary rule may be on the horizon. Or not. But regardless, there will be a need and role for advisors — it just may be different than it was beforehand, avowed a trio of industry execs at... Read More
BY John Iekel | 3/19/2017
“It really isn’t about technology vs. humans. It’s about working together for better outcomes,” said Cynthia Loh, GM of Betterment for Business, one of the panelists in a March 19 NAPA 401(k) Summit... Read More
BY John Ortman | 3/19/2017
In an era of fee compression, how can you escape the race to the bottom? While there are several answers to that question, basically they all focus on one thing: proving your value to prospects and... Read More
BY Nevin E. Adams, JD | 3/14/2017
If you live (or are travelling to) the upper east coast of the U.S. today, odds are you’ve spent some time making preparations for what looks to be (and by the time you read this likely is) a big... Read More
BY NAPA Net Staff | 3/7/2017
A new survey seeks to gauge how much American workers know about several key retirement questions, and while it’s not really a gauge of financial literacy, it could provide an interesting opening to... Read More
BY Matt Clarkin | 2/27/2017
While there have been various interpretations as to how the new rules would impact the fiduciary status of employers and advisers as it pertains to health savings accounts (HSAs), the prudent... Read More
BY Lisa Greenwald | 2/23/2017
Here’s a surprise: Employees view health insurance as far and away their most important employee benefit when deciding whether to stay at their current job or make a change. More than half of... Read More
BY Don Trone | 2/10/2017
A recent World Economic Forum report, The Future of Jobs and Skills, included a list of the top 10 skills that will be valued most by 2020: Complex problem solving Critical thinking Creativity People... Read More
BY Nevin E. Adams, JD | 1/31/2017
Last week an advisor reached out to me looking for an article on a topic that comes up with remarkable frequency. Specifically, this advisor was dealing with a situation where a client was... Read More
BY Chris Rylands and Lisa Van Fleet | 1/12/2017
If statistics are any guide, by now a significant number of you have already broken your New Year’s resolutions. However, if you work with employee benefit plans, here are some ideas to keep in mind... Read More
BY Nevin E. Adams, JD | 12/20/2016
One could certainly argue that many Americans act as though at retirement some kind of benevolent elf will drop down their chimney with a bag full of cold cash from the North Pole. They behave as... Read More
BY Fred Barstein | 12/15/2016
At an advisor conference this fall, one industry expert predicted that two out of three advisors will exit the DC market. Is he right?Like with many statistics, the answer is, “It depends.” Taking a... Read More
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