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How centers of influence can help build your book of business
In many ways, expanding an advisory business is like dating. Similar to the way people turn to friends to set them up, some financial advisers, such as Eliot Weissberg, have relied on local professionals to help recruit clients.
Advisers: How do you know when it’s time for an upgrade?
Financial advisers, whether solo practitioners or members of a multiperson firm, need to think regularly about whether their technology is keeping pace with their business needs.
Outsourcing peripheral tasks lets advisers focus on growth, clients
When David Marotta started his advisory practice in 2000, he was tempted to get involved with the design of its website and the deployment of software and computer resources for the office.
Evolving into a virtual practice can help cast a wider net for clients
Sheila Chesney can tie her practice's evolution directly to technological advancements that brought her from using her phone and e-mail as primary forms of communication to video calling.
What does a pizza parlor have to do with RIAs? More than you’d think
Successful restaurant owner shares his secrets at TD Ameritrade summit
Schwab’s profit spikes, stock price doesn’t
Brokerage sees dramatic jump in income and net new accounts; Wall Street yawns
Morgan Stanley Smith Barney to shed reps’ social media shackles
Morgan Stanley Smith Barney will let its nearly 18,000 financial advisers market themselves and share ideas with clients through LinkedIn and Twitter, which will allow for a 'a significant competitive advantage' according to one top exec.
Have you seen those commercials about CFPs?
Naysayers aside, the CFP's TV ad campaign, part of a new national public-awareness effort, is just the message the retirement-nervous need to see right now.
B-Ds, RIAs face swarm of surprise regulations: Pershing
Pershing executives are warning about a bevy of new regulations and legislation that may blindside some B-Ds and RIAs
Plunge in revenue growth fueling advisory firm M&As, Pershing says
Independents are doing most of the deals; difficulty expanding business organically
B-Ds may pay more than $1M to foot bill for new audits
The largest U.S. broker-dealers may be asked to pay more than $1 million a year to fund annual inspections required by the Dodd-Frank Act, according to a proposal by the panel that oversees public-company audits.
Advisers must be flexible during debt limit impasse
THE IMPASSE IN WASHINGTON over the debt limit, and longer-term, over what to do about the federal deficit…
Leaders of Senate debt reduction group vow to take hard look at tax expenditures
Two leaders of a group of senators trying to convert last year's presidential deficit commission recommendations into legislation plan to take a hard look at eliminating tax breaks which cost a total of $1.1 trillion annually.
RIAs: The struggle for advisory firms to maintain growth
RIA firms shouldn't expect the good times to last. After benefiting from strong equity markets in 2009 and 2010, registered investment advisory firms will be battling head winds for the next few years as they seek further growth, observers predict
BofA sues $5.9B breakaway team over ‘trade secrets’
Bank of America Corp. won a court order temporarily blocking four former employees from using and sharing the bank's client records at their new employer, New York-based Dynasty Financial Partners.
Fidelity offering breakaway hybrids new services
Fidelity Investments is improving services for breakaway hybrid advisers who face bumps in setting up dual advisory and commission businesses, the fund giant announced today.
Insurance industry must get its act together
If it wants to avoid potentially onerous new regulations and a slew of negative headlines, the life insurance industry must band together immediately and establish universally accepted guidelines for identifying deceased policyholders and disbursing benefits to beneficiaries
ADV-2: How much can you learn about your competitors now?
In addition to satisfying regulators, the wealth of information contained in revised ADV forms may be a gold mine of competitive intelligence
ETFs can present pricing problems
Advisers love exchange-traded funds. What they may not like so much: the execution of ETF trades -- particularly for less liquid funds -- can hit clients in the wallet
