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Clients shedding net worth at swift clip
PRACTICE MANAGEMENT JAN 25, 2012
Clients shedding net worth at swift clip

Declines in stock market, home values pummels individual assets; lots of deleveraging going on

Most advisers overstating their expertise: Cerulli study
RIAS JAN 24, 2012
Most advisers overstating their expertise: Cerulli study

A survey of more than 1,500 financial intermediaries over the past year found "pattern of misrepresentation"

 Shop Talk: Instruct clients to keep appraisals up-to-date
PRACTICE MANAGEMENT JAN 24, 2012
Shop Talk: Instruct clients to keep appraisals up-to-date

Investment advisers should insist that clients get appraisals of valuables updated periodically

RIAS JAN 24, 2012
HighTower scores $1B adviser

HighTower Advisors has landed Margaret Towle, a high-end investment adviser with Greycourt & Co. Inc. doing business in Seattle and Minneapolis, despite market volatility that tends to keep advisers put.

Mind your social-media compliance programs: SEC
FINTECH JAN 18, 2012
Mind your social-media compliance programs: SEC

Finra has warned investment advisers to examine the effectiveness of their social-media compliance programs based on findings from recent SEC adviser examinations.

Tweet away: Finra backs off social-media posting regs
FINTECH JAN 18, 2012
Tweet away: Finra backs off social-media posting regs

The Financial Industry Regulatory Authority Inc. has backed away from a proposal that would have required broker-dealers to file social-media postings with the regulator.

RIAS JAN 18, 2012
Advisers who are fee-based feel handcuffed

It's anything but a virtuous cycle. The markets are down. Financial advisers who base their fees on assets under management are hurting. The only fix? Raise prices. But how can you in this market?

Another big custodian cutting its payroll
PRACTICE MANAGEMENT JAN 17, 2012
Another big custodian cutting its payroll

Northern Trust latest to downsize; total layoffs among top three custody banks could top 4,450

CFP Board eases up on advisers who go bust
PRACTICE MANAGEMENT JAN 16, 2012
CFP Board eases up on advisers who go bust

Aims to end disciplinary proceedings against planners who declare bankruptcy

PRACTICE MANAGEMENT JAN 16, 2012
Working smarter: Build greater practice value through succession planning

As a financial adviser, you actively promote advanced planning to your clients to help them achieve their financial goals. As a business owner, it is just as important that you do the same by creating a succession plan for your practice.

PRACTICE MANAGEMENT JAN 16, 2012
Talking to clients about losing a loved one

RETIREMENT PLANNING JAN 12, 2012
ROI for RIAs

Technology is not just another expense item detracting from take-home pay and profit distributions. For top-performing Registered Investment Advisors (RIAs), it's viewed as a long-term investment that generates growth and higher profitability.

PRACTICE MANAGEMENT JAN 11, 2012
Does corporate loyalty still exist among advisers?

RETIREMENT PLANNING JAN 11, 2012
Helping retired clients prepare for health care costs

PRACTICE MANAGEMENT JAN 10, 2012
How to pitch small-business prospects

Looking to land small-biz clients? These prospects offer the best odds
PRACTICE MANAGEMENT JAN 10, 2012
Looking to land small-biz clients? These prospects offer the best odds

Surveys reveal women and younger bosses more apt to seek out financial help

PRACTICE MANAGEMENT JAN 10, 2012
How did Corzine receive a free pass from Finra on exams?

Making it to the top of Goldman Sachs brings wealth, prestige — and apparently a waiver from Finra from taking the broker exams it regularly requires of others in the securities industry

FINTECH JAN 09, 2012
Socialware to receive additional funding from CrunchFund, other investors

PRACTICE MANAGEMENT JAN 09, 2012
Cetera to move IRA custody in-house from Pershing

Cetera Financial Group informed financial advisers at two of its three brokerage units last Wednesday that it plans to bring custody of various IRA and savings accounts in-house at its third broker unit, PrimeVest Financial Services Inc.

FINTECH JAN 08, 2012
Teaching financial skills to clients' kids

Welcome to the New Year. The annual surge in gift giving and receiving — and returning — is behind us, which means that many of the children and grandchildren of your clients are sitting with more money than they had a month ago.