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Take care of yourself so you can better care for your clients
OPINION MAY 03, 2020
Take care of yourself so you can better care for your clients

Advisers contend with the very same financial and emotional strains amid the historic economic downturn

Keeping clients on their path
PRACTICE MANAGEMENT MAY 03, 2020
Keeping clients on their path

Make sure clients keep their eye on the long view, and not let emotions pull them off course

3 Questions: Samantha Russell on turning prospects into clients
PRACTICE MANAGEMENT MAY 01, 2020
3 Questions: Samantha Russell on turning prospects into clients

The marketing expert at Twenty Over Ten talks about how to generate and convert leads through your firm's website

Even with SEC guidance, advisers must decide when to disclose PPP loans
RIAS MAY 01, 2020
Even with SEC guidance, advisers must decide when to disclose PPP loans

The regulator deems ‘material’ federal help to pay personnel who work with clients

'Show clients your face' and other advice for Zoom calls
FINTECH MAY 01, 2020
'Show clients your face' and other advice for Zoom calls

Think like an event planner, said presenters on a webcast from The American College of Financial Services

SEC pulls license from New York broker-dealer
PRACTICE MANAGEMENT MAY 01, 2020
SEC pulls license from New York broker-dealer

The regulator alleges Portfolio Advisors Alliance used false offering documents

Business development playbook
PRACTICE MANAGEMENT MAY 01, 2020
Business development playbook

Despite the current challenges, including working separately from business partners and staff, now is the time advisory firms should be laying the groundwork for their next phase of growth

Should advisers cut fees to help clients during COVID-19?
RIAS APR 30, 2020
Should advisers cut fees to help clients during COVID-19?

Some firms are waiving or reducing fees for clients who have been financially affected by the current crisis

Strongest RIAs managed for growth during the financial crisis: TD study
RIAS APR 30, 2020
Strongest RIAs managed for growth during the financial crisis: TD study

The owners of standout firms took pay cuts, but kept investing in the business

3 Questions: Paul Saganey highlights philanthropy during pandemic
PRACTICE MANAGEMENT APR 30, 2020
3 Questions: Paul Saganey highlights philanthropy during pandemic

The founder of Integrated Partners shares good deeds he's seeing in the industry, including one adviser’s effort to ensure students in his community have food

Raymond James to focus on 'virtual' recruiting
BROKER DEALERS APR 30, 2020
Raymond James to focus on 'virtual' recruiting

Travel restrictions and uneasiness about in-person meetings mean recruiting is moving online

3 Questions: Adviser delivering groceries to elderly clients
PRACTICE MANAGEMENT APR 29, 2020
3 Questions: Adviser delivering groceries to elderly clients

Ken Van Leeuwen finds bringing food to older clients in Princeton, N.J., helps him feel better during this challenging time

Financial industry groups seek SEC rule on 12b-1 fee disclosure
RIAS APR 29, 2020
Financial industry groups seek SEC rule on 12b-1 fee disclosure

Investor advocates: Common sense and the Investment Advisers Act require the disclosure of higher-fee funds

Schwab to set the bar high with virtual Impact conference
FINTECH APR 29, 2020
Schwab to set the bar high with virtual Impact conference

Advisers still want to network, but are asking for a price break on the cost of admission

How COVID-19 will destroy small firms
OPINION APR 29, 2020
How COVID-19 will destroy small firms

As the pandemic eliminates in-person meetings, advisory firms will need capital to shift to a fully remote experience

Betterment Checking opens to all clients
RIAS APR 28, 2020
Betterment Checking opens to all clients

After announcing the products in July, the robo-adviser finally made them available to all 500,000 clients last week

Allianz Life to use eMoney Advisor
FINTECH APR 28, 2020
Allianz Life to use eMoney Advisor

The planning tool will help advisers explain the role of annuities in retirement

SEC charges California adviser with cherry-picking
PRACTICE MANAGEMENT APR 28, 2020
SEC charges California adviser with cherry-picking

The regulator alleged that Donald Kellen allocated winning trades to his own account

Staying social at a distance: The next normal
OPINION APR 28, 2020
Staying social at a distance: The next normal

Embracing virtual technology can be freeing, rather than being limiting

State-registered investment advisers need better cybersecurity: NASAA
FINTECH APR 28, 2020
State-registered investment advisers need better cybersecurity: NASAA

Coordinated exams also show deficiencies in books and records, contracts and fee-related matters