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FINTECH JAN 01, 2012
LPL to unveil technology push

LPL Financial LLC will soon take the wraps off a major technology initiative intended to appease its 12,799 reps and advisers.

PRACTICE MANAGEMENT JAN 01, 2012
Schwab's Bernie Clark on RIA challenges

Bernard J. Clark is head of Charles Schwab & Co. Inc.'s adviser custody unit, Schwab Advisor Services, a position he has held for the past 20 months

RIAS JAN 01, 2012
Ron Carson announces adviser hire for new RIA

Well-known veteran investment adviser Rob Isbitts will oversee investments for Ron Carson's new RIA.

Opinion: Days of easy money over for active managers
PRACTICE MANAGEMENT DEC 30, 2011
Opinion: Days of easy money over for active managers

Tougher and tougher to justify fees as performance sags; passive aggressively pursued

Advisers embrace media, old and new
FINTECH DEC 30, 2011
Advisers embrace media, old and new

From apps to amplitude, embracing old and new media can pay off for advisers

State regulators announce reviews for midsize advisers
PRACTICE MANAGEMENT DEC 29, 2011
State regulators announce reviews for midsize advisers

Program is for investment advisers now registered with the Securities and Exchange Commission who must register with anywhere from four to 14 states.

RETIREMENT PLANNING DEC 28, 2011
Gifting on the rise as rich look to duck 55% estate tax

Wealthy locking in 35% tax rate before death tax returns; 'Throw Momma from the Train' law

RETIREMENT PLANNING DEC 28, 2011
Steinbrenner's death raises estate tax issue

Even in death, George Steinbrenner went out a winner.

Raymond James picks up RIAs
RIAS DEC 23, 2011
Raymond James picks up RIAs

Raymond James' custody unit has picked up four new RIA firms with more than $400 million in assets.

HNW clients might be OK with retainers, after all
PRACTICE MANAGEMENT DEC 23, 2011
HNW clients might be OK with retainers, after all

Volatile markets haven't been friendly to those who employ asset-based advisory fees, but conventional wisdom says switching would be a hard sell ... or will it?

Accused Ponzi schemer's Ferrari, Rolls Royce get special protection
PRACTICE MANAGEMENT DEC 23, 2011
Accused Ponzi schemer's Ferrari, Rolls Royce get special protection

A federal judge is making sure nothing happens to assets seized from a South Florida lawyer charged with operating a $1 billion Ponzi scheme.

FINTECH DEC 22, 2011
A solution for firms using Salesforce

PRACTICE MANAGEMENT DEC 22, 2011
Ready for your close-up, Mr. Adviser?

For now, advisers — most of whom have websites and are experimenting with social media — are largely shying away from video

FINTECH DEC 22, 2011
Raymond James makes its social-media move

Raymond James Financial Inc. has become the latest financial services firm to help minimize the compliance barrier to wider use of social media

FINTECH DEC 22, 2011
Schwab tries to wow advisers with its technology progress

Schwab Advisor Services last week showed off the first of its completed integrations with Salesforce.com and announced a new partnership

FINTECH DEC 22, 2011
The tech vendors advisers use — and what they really think of them

I was thrilled to see another iteration of some of our recent technology survey data included in our INTech newsletter the other day.

RIAS DEC 19, 2011
The 10 videos advisers watched most in 2011

Financial advisers have begun to incorporate video into their marketing as a key client communication and business development tool.

PRACTICE MANAGEMENT DEC 19, 2011
As clients lose jobs, more advisers come to the rescue

Financial adviser as career coach? It is a hat that more advisers soon may be wearing, given the length and severity of the recession and anemic jobs recovery.

RIAS DEC 18, 2011
Rudy Adolf: The focus driving Focus

Rudy Adolf said he became convinced that RIAs were the future of the investment management business back in the late 1990s, when he was running a traditional brokerage firm.

FINTECH DEC 18, 2011
Darren Tedesco: Driving Commonwealth's 'intuitive' tech

No matter how you slice the data, Commonwealth Financial Network LLP comes out as one of the top independent broker-dealers in the nation — and a big part of that success has been its technology.