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FINTECH NOV 04, 2013
Is a working vacation still a vacation?

Has technology robbed you of your free time? Maybe it's time to pare down and at least limit the tech tools you take on vacation.

EQUITIES NOV 04, 2013
The Takeaway: As always, retail investors come late to the party

EQUITIES NOV 04, 2013
The Takeaway: Wirehouses second-guess the value of a CFP

PRACTICE MANAGEMENT NOV 03, 2013
Making it a priority to work with clients' children can pay off

FINTECH NOV 03, 2013
Man versus machine

PRACTICE MANAGEMENT NOV 03, 2013
Performing the role of family CFO

FINTECH NOV 03, 2013
Crack the female-adviser playbook

RIAS NOV 01, 2013
Want to keep the inheritance in-house? Try a different approach

Gen Xers and Millennials approach financial advice differently than their parents. Advisers need to learn what makes them tick to hold onto the family's assets.

RIAS NOV 01, 2013
RIAs need to focus on compensation to foster growth, advisers told

With a shortage of advisers facing the industry, the cost to keep them will continue to go up, Fidelity's Waldemar Kohl said. The median compensation cost per lead adviser has grown to $174,000 this year from $165,000 in 2009, according to numbers presented at the conference. And personnel costs make up about 70% of adviser expenses.

FINTECH NOV 01, 2013
Time for financial advisers to automate their referral process

RIAS OCT 31, 2013
Morgan Stanley veterans launch firm using Raymond James platform

A group of veteran Morgan Stanley managers has broken away from the wirehouse to form a partnership with Raymond James to offer equity ownership and succession planning to advisers.

RIAS OCT 31, 2013
Advisers who serve have a double duty — to Uncle Sam and their clients

Anyone who thinks they have busy days should listen to Chris Pollard's tale. This Regent Wealth Management Group financial adviser spent a year activated in the Army National Guard as a budget analyst by day — while serving his 100 advisory clients at night and over the weekends.

BROKER DEALERS OCT 31, 2013
Adviser head count expected to drop amid lack of new recruits

Cerulli study forecasts a drop of more than 25,000 advisers by 2017, most from wirehouses and broker-dealers. The problem? A lack of new recruits.

PRACTICE MANAGEMENT OCT 31, 2013
Wirehouse turnover picks up, but it's mostly musical chairs

Recent moves point to building momentum after year and a half of sluggish action

PRACTICE MANAGEMENT OCT 31, 2013
Advisers must take closer look at continuity plans, SEC says

Financial firms asked to shorten the time it takes to recover from an emergency.

PRACTICE MANAGEMENT OCT 31, 2013
Regulators want firms to improve continuity plans

Advisers encouraged to increase disaster preparedness following Superstorm Sandy

BROKER DEALERS OCT 30, 2013
LPL adds adviser network managing $1.2B

Arizona group of about 40 financial advisory practices joins LPL. The network's founder is looking to add 50 new offices next year.

ALTERNATIVES OCT 30, 2013
Tradeweb Markets acquires BondDesk Group

Tradeweb deal will combine technology and services from BondDesk and Tradeweb Retail to create a rebranded Tradeweb Direct retail fixed-income division.

FINTECH OCT 30, 2013
Do you outsource work to your clients?

What separates most advisory firms from one another is not someone's investment prowess but rather their ability to serve their clients. To do that effectively, we sometimes have to “unscale” our business.

PRACTICE MANAGEMENT OCT 30, 2013
UBS hires upstate New York father-son adviser team managing $144M

UBS hires father-son adviser team managing $144M from rival wirehouse Morgan Stanley Wealth Management.