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RETIREMENT PLANNING MAY 12, 2014
Retirement plan diversification improving, women take the lead

Wells Fargo report says few men or women are contributing recommended 10% to their 401(k).

EQUITIES MAY 12, 2014
Are women financially conservative or just economically realistic?

They're less willing to take risks with money than men, but they'll ensure the mortgage is paid off.

PRACTICE MANAGEMENT MAY 12, 2014
How your firm can stay compliant when serving seniors

Finra to look at how firms sell annuities, REITs and other products to older clients.

9 steps to protect your financial future after a divorce
OPINION MAY 11, 2014
9 steps to protect your financial future after a divorce

Gray divorce and its financial implications: The rising number of splits later in life means that untangling the assets is more complicated

PRACTICE MANAGEMENT MAY 11, 2014
Brokers being told: Leave now or lose later

PRACTICE MANAGEMENT MAY 11, 2014
In this Finra program, the eyes have it

A new initiative has the regulator looking at private placements more closely and in real time.

PRACTICE MANAGEMENT MAY 11, 2014
Advisers create a franchise operation for divorce planning

Team to offer professional testimony in court, forensic accounting and other services.

PRACTICE MANAGEMENT MAY 11, 2014
Goals-based planning takes flight

A confluence of changing client demographics and challenging investment environments has forced many advisers to shift their focus from being stock jockeys to holistic planners — and this evolution is bleeding into all of the advice channels.

PRACTICE MANAGEMENT MAY 11, 2014
How to fight the inertia of succession planning

One of the best ways for advisers to fight the natural inertia of succession planning is to seek outside help. Whether guided by a B-D, roll-up firm or independent consultant, advisers should seek out certain key features. Liz Skinner on what to look for.

Getting it down on paper
PRACTICE MANAGEMENT MAY 11, 2014
Getting it down on paper

A written succession plan is complex, with many decisions feeding into the final product.

BROKER DEALERS MAY 11, 2014
Selling your book twice over

Switching firms 10 years before you expect to leave the industry can provide an extra windfall – if done correctly

PRACTICE MANAGEMENT MAY 09, 2014
Institute for the Fiduciary Standard launches best practices effort, eyes new certificate

Led by Vanguard founder John “Jack” Bogle and Boston University professor Tamar Frankel, new board will introduce guidelines by year end.

PRACTICE MANAGEMENT MAY 09, 2014
What the back of a business card can say about your company

Define your company's culture, and put the definition into action. One office supply company, Chalkfly, still sends handwritten notes with its invoices.

FINTECH MAY 09, 2014
Take the quiz: Are your client review tactics compliant?

FINTECH MAY 09, 2014
Adviser reviews coming soon to a website near you

In the wake of new SEC guidance, advisers need to brace themselves for online reviews, including negative ones. Liz Skinner on what the relaxed restrictions will mean for your business. <i>(Plus: Read <a href=&quot;http://www.investmentnews.com/article/20140409/BLOG09/140409894&quot; target=&quot;_blank&quot;>Michael Kitces' take</a> and find out if <a href=&quot;http://www.investmentnews.com/article/20140409/FREE/140409901&quot; target=&quot;_blank&quot;>your client review tactics are compliant</a>.)</i>

RIAS MAY 09, 2014
Wirehouse breakaway market seen thawing

After a mostly frigid 2013 for recruiting from wirehouse brokerages, agents responsible for selling those brokers on the benefits of free agency are cautiously optimistic that a thaw has finally set in.

BROKER DEALERS MAY 08, 2014
Raymond James adds Morgan Stanley adviser with $360 million in AUM

Adviser Stephen Besse will be part of the firm's presence in northern California.

Wirehouses sweeten succession deals for retiring advisers
PRACTICE MANAGEMENT MAY 08, 2014
Wirehouses sweeten succession deals for retiring advisers

Wirehouse firms are revamping their succession programs with higher payouts and lower barriers to entry for advisers who are preparing to retire. The efforts are aimed at competing with independent firms that hold a reputation for the highest payouts.

RETIREMENT PLANNING MAY 08, 2014
With Finra's bonus disclosure moving ahead, practice how to break the news to clients

Focus on the positives, but be ready to discuss the details.

PRACTICE MANAGEMENT MAY 08, 2014
Finra bonus disclosure rule goes to the SEC

If approved, the Finra rule would require brokers who receive more than $100,000 in incentive compensation to notify clients in writing; some say it could chill recruitment.