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TD to work on work flows for third-party technology partners
RIAS JAN 06, 2012
TD to work on work flows for third-party technology partners

Deal with Actifi should help custodial unit speed up adviser work processes and improve efficiency

Ladenburg bonuses should ease retention headaches at SAI
PRACTICE MANAGEMENT JAN 06, 2012
Ladenburg bonuses should ease retention headaches at SAI

Buyer of Securities America offers carrot to the unit's brokers to entice them to stick; 'most of the advisers will stay put'

PRACTICE MANAGEMENT JAN 06, 2012
The rise and fall of Brookstreet's 'Uncle Stan'

He used to be known as the charming, affable “Uncle Stan” of Brookstreet Securities Inc., the independent broker-dealer he built. Now, he's facing charges of securities fraud.

Advisers blind to threat of direct investing, survey shows
PRACTICE MANAGEMENT JAN 05, 2012
Advisers blind to threat of direct investing, survey shows

Mostly unaware of money clients put into direct accounts; 'market is bigger than many people recognize'

Car salesmen miles ahead of advisers in consumer trust
PRACTICE MANAGEMENT JAN 05, 2012
Car salesmen miles ahead of advisers in consumer trust

Advice and investment industry lowest of the low in consumer faith, survey finds; banks not regarded much better

FINTECH JAN 05, 2012
Advent Software will get new CEO in June

PRACTICE MANAGEMENT JAN 03, 2012
A holiday poem — from a headhunter?

Twas the week after Christmas, with most of Wall Street away – Except perhaps Regions bank – Who is buying Morgan Keegan today?

PRACTICE MANAGEMENT JAN 01, 2012
Using portfolio reporting as your edge

RIAS JAN 01, 2012
Resolve to be a better adviser

While most of us are already well on our way to breaking our New Year's resolutions to lose weight, exercise more or declutter our desks, here are some ideas for resolutions that financial advisers might want to consider — and stick to — for 2012.

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.