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On Wall Street
May 1, 2011 |
Five Questions With Sean Walters Sean Walters of the Investment Management Consultants Association shares his thoughts on the industry and credentialing programs.   |
Registered Rep.
April 27, 2011
Kristen French |
CIMA Aims High: Seeks to Replace Series 7, 65 As Industry Standard The Investment Management Consultants Association announced Wednesday that its popular CIMA certification is now accredited by the American National Standards Institute, making it the first of the major wealth management designations to meet international ISO standards. |
Registered Rep.
November 10, 2010
Charles Paikert |
Advisor Interest In Ultra Wealthy Grows Wealthy clients, especially the younger ones, want more sophisticated advice and they want a fiduciary who will always act on their behalf. |
Financial Planning
January 31, 2013 |
Calendar New York Consultants Conference... Technology Tools for Today... Women Advisors Forum... |
Financial Advisor
March 2011
Andrew Gluck |
Members Only Good intentions and strict rules may have backfired for the Financial Planning Association at a time of change. |
Investment Advisor
September 2007 |
Upgrades The Investment Management Consultants Association, Inc. is offering a new designation -- the Chartered Private Wealth Advisor or CPWA. |
Financial Planning
October 2, 2007
Elizabeth O'Brien |
Do the Rich Enrich? Advisors chase high-net-worth clients, but some skeptics remain. |
Registered Rep.
August 5, 2003
David A. Gaffen |
Tussle Over Designations at IMCA Rankles Advisors The Certified Investment Management Associate degree, or CIMA, is an exclusive certification, and some brokers with the similar CIMC designation are finding that out the hard way. |
Registered Rep.
May 1, 2004
David Gaffen |
The Departure of a Consulting Pioneer An interview with Investment Management Consultants Association's Evelyn Brust on her tenure and about her views on the direction of the financial advice industry. |
Investment Advisor
October 2007
K. McBride & K. Stapleton |
Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill. |
Investment Advisor
March 2009
Kara P. Stapleton |
Group Think News about the FPA, American College, CFP Board, and IMCA. |
Financial Advisor
May 2011
Andrew Gluck |
Finra Makes Its Move Who regulates financial advisors may shift. Here's a look at the positions various groups are taking on fiduciary standards. |
Financial Planning
October 2, 2007
Suzanne McGee |
Higher and Higher Today, there are more than 9 million Americans with at least $1 million to invest. Even for the best-prepared and best-educated advisor, a time may come when they need to consider whether continuing to work with their ultra-affluent client is in the best interests of both parties. |
Investment Advisor
October 2005
Kathleen M. McBride |
Privileged Membership Professional associations can give financial advisors a very good idea of how well they are doing compared to their peers -- and often provide practice management guidance about how to make improvements that could yield a material difference to their bottom line. |
Registered Rep.
October 29, 2013
David Armstrong |
Editor's Letter: November 2013 A common refrain heard at industry conferences and in the trade press is that "the financial services industry suffers from a bad reputation. How can we rebuild client trust?" |
Registered Rep.
October 1, 2005
Mindy Diamond |
What Size Pond? It is important for advisors to find a firm that is a good fit for their particular goals. In many cases, small firms work well. For advisors looking to expand their books aggressively, larger firms are often -- but not always -- a good option. |
U.S. Banker
October 2002
John Adams |
Paint the Big Picture for The Elite--on Screen eMoney Advisor's Wealth Management Solution is a new product allowing both financial advisors and clients to have a single place to view the ongoing status of all their financial relationships. |
Registered Rep.
April 11, 2014
Diana Britton |
Is the CFP Board Losing Credibility in the Eyes of Advisors? WealthManagement.com surveyed 321 CFP holders and found that one-third believe the recent scandals detract from the perceived value of the designation. |
Registered Rep.
November 8, 2010
Charles Paikert |
Ultra-Wealthy Seeking New Investment Approaches: IMCA Conference The so-called "bucket approach" of dividing a portfolio into goals-based categories is gaining popularity among wealthy investors. |
Registered Rep.
November 1, 2004
Will Leitch |
The Advisor as Traffic Cop As high-net-worth investors spread their assets around more liberally, they are finding themselves in need of a traffic cop -- a central advisor who can sit in the middle of all the financial activity and make sense of it all. |
Registered Rep.
February 29, 2012
Jerry Gleeson |
It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products. |
Financial Advisor
August 2006
Hannah Shaw Grove |
Life Insurance And Wealth Management Helping client with life insurance is an important service of effective wealth managers. |
Registered Rep.
December 7, 2011
Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts. |
Registered Rep.
May 1, 2005
Kristen French |
Go to the Head of the Class This financial advisor and winner of an Outstanding Broker Award for 2005 loves learning, and his clients love him for it. |
Entrepreneur
June 2009
Asheesh Advani |
Put Your Advisory Board to Work It's time to rethink the roll of advisors and how they are compensated. |
Registered Rep.
September 24, 2013
Mindy Diamond |
Peeking Over the Fence Is the grass really greener -- and growing faster -- on the other side? Many advisors don't know how limited they are in their growth until they start exploring other options. |
Financial Advisor
June 2004
Sydney LeBlanc |
SMAs and Due Diligence: Streamlining The Process Software tools and common sense can help advisors enter the separately managed accounts (SMA) business. |
Financial Planning
April 1, 2013 |
Women Advisors Forum: Learn From the Best Next month's New York gathering offers sessions on divorce planning, career development, digital marketing and more. |
Financial Advisor
January 2009
Rebecca Pomering |
Turning Turbulence Into Growth Turmoil is creating big opportunities. |
Registered Rep.
July 21, 2006
Kristen French |
Advisors Not Filling High-Net-Worth Retirement Needs, Survey Says Although few high-net-worth investors are prepared for the kind of retirement they expect, advisors continue to focus on wealth accumulation at the expense of long-term financial planning. |
Registered Rep.
August 1, 2005 |
CIMA and the Wirehouse Rep. Merrill Lynch leads the pack in terms of the number of Certified Investment Management Analyst (CIMA)-carrying reps. |
Registered Rep.
July 8, 2009 |
CIMA Adds Post-Modern Portfolio Theory To Curriculum The Investment Management Consultants Association has announced that it has changed the requirements for attaining the designation of Certified Investment Management Analyst. |
Financial Planning
August 1, 2007
David E. Adler |
Quest for Knowledge Continuing education is a must for financial planners trying to stay ahead of the client curve. A look at CE trends and current requirements will help you chart your course. |
Registered Rep.
February 28, 2003
Ross Tucker |
Attractive Advice at IMCA Conference: Tough times call for creative approaches This was the message delivered by Merrie Martinson, a vice president with Scudder Investments, in kicking off a two-day conference sponsored Investment Management Consultants Association. |
Financial Advisor
April 2009
David Lawrence |
Migratory Patterns Advisors who want to move to the independent world should spend a lot of time planning the transition. |
On Wall Street
November 1, 2008
Matthew Leung |
Keeping Current Is Critical in Challenging Markets Clients' needs rule the day, so take advantage of existing educational sources, even in disparate areas of your work life. |
Investment Advisor
January 2010 |
GroupThink Financial Industries news: Investment Management Consultants Association releases 2009 membership profile... Social Investment Forum announces election of three new members... Four new members have been named to the Financial Planning Association's board of directors... |
Registered Rep.
September 1, 2005
Grove & Prince |
Theory to Practice For many advisors, the evolution to wealth manager remains a matter of theory, not practice. Sure, they're calling themselves wealth managers, but they're still behaving like financial advisors. |
Registered Rep.
July 14, 2009
Halah Touryalai |
Financial Advisor Switching Firms Jumps in June June was a busy month for financial advisors on the move. The number of advisors switching firms jumped 45 percent in June versus May, according to Discovery Database. |
Registered Rep.
January 5, 2011
Mindy Diamond |
Lining Up Your Pros And Cons The following is a list of some of the pain points advisors who want to leave their firm often describe. |
On Wall Street
July 1, 2010
Frances A. McMorris |
The Burgeoning Battle For The Best And The Brightest What are the wirehouse behemoths doing to keep their advisors happy, attract others, and, in turn, maintain the bulk of high-net-worth client assets? |
On Wall Street
September 1, 2011
Bill Willis |
Is Now The Time to Head to Wirehouses? The demise of the wirehouse has been greatly exaggerated. For years, pundits have forecast that a torrent of wirehouse advisors will go independent. But, from where I sit, this torrent has turned out to be a trickle. |
Registered Rep.
December 4, 2014
Diana Britton |
Investors Prefer Holistic Advice, CFP Board Says Contrary to the prevailing belief in this industry that it pays to focus on a niche market, investors actually prefer to work with an advisor who can discuss all areas of their life. |
Registered Rep.
May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model. |
Registered Rep.
May 17, 2011
Kristen French |
For Quantum Growth, Wow Your 50 Top Clients Financial advisors should focus extra attention on their 50 best clients to achieve growth and build their "ideal" practice. |
Financial Planning
October 1, 2012
John J. Bowen, Jr. |
Elite Advisors' Best Practices: What Makes for a Successful Planner How do the best financial planners become successful? Developing a vision and a plan for your business takes focus, collaboration and consistency. And it s how the best performers enhance their success. |
Financial Advisor
March 2012 |
Wirehouses Still King Of The Hill Despite headlines about breakaway brokers and the ascendency of the independent, fee-based advisory model, the Big Four wirehouses are still holding their own. |
Financial Planning
August 1, 2006
Donald Jay Korn |
Daunted by Designations? As the number of expert designations heads toward triple digits, financial planners must decide which -- if any -- they really need. |
Registered Rep.
October 1, 2012
Mindy Diamond |
Lost In Translation Different languages: How communication gaps can kill recruiting for advisory firms. |
Investment Advisor
February 2010 |
GroupThink News from the Investment Management Consultants Association and the SEC. |
