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PRACTICE MANAGEMENT DEC 16, 2011
What to tell clients who lose their jobs

PRACTICE MANAGEMENT DEC 15, 2011
Next Gen asks 'WTF?' — What's the forecast?

Advisers shuffle off in Buffalo as firm closes
RIAS DEC 15, 2011
Advisers shuffle off in Buffalo as firm closes

A small broker-dealer in Buffalo is shutting down next year because its five teams of financial advisers want to find a better fit for their individual businesses.

RIAS DEC 15, 2011
Atlanta: Wealth management prospects down, but not out

A bit of Southern hospitality mixed with big-city benefits has helped Atlanta remain an ideal place to build a wealth management business, even though it is still recovering from an economic downturn.

Longtime RJFS CEO to retire
RIAS DEC 15, 2011
Longtime RJFS CEO to retire

Raymond James Financial Inc. will see a number of upper-management changes in the new year, including the departure of Dick Averitt, longtime chief executive of Raymond James Financial Services Inc.

MSSB's tech 'teething pains' a big headache for brokers
PRACTICE MANAGEMENT DEC 15, 2011
MSSB's tech 'teething pains' a big headache for brokers

Sources say that the rollout of a single technology system at Morgan Stanley and its brokerage unit has been anything but seamless, with intermittent outages and other assorted glitches and snafus.

PRACTICE MANAGEMENT DEC 15, 2011
MSSB/Merrill swap teams in broker war

At a time when Wall Street is talking about tightening its belt, Morgan Stanley Smith Barney LLC and Bank of America Merrill Lynch are still showing a willingness to shell out big bucks for top-producing financial advisers

PRACTICE MANAGEMENT DEC 15, 2011
Employees hold the keys to success

Financial advisers like to say they run a relationship-based business. It turns out that's true in more ways than they may realize.

PRACTICE MANAGEMENT DEC 15, 2011
How — and why — the advice industry will create new jobs

With all the ink that has been spilled this week over the lack of jobs and the need for job creation strategies, it was easy to miss a very telling, compelling — and contrary — story about the potential for jobs in one corner of the business world: The financial advisory industry.

PRACTICE MANAGEMENT DEC 13, 2011
Why cutting fees in a down market is a dumb idea

Women not sure how their advisers make money: Survey
PRACTICE MANAGEMENT DEC 12, 2011
Women not sure how their advisers make money: Survey

Transparency lacking in how fee, commission-based advisers differ

When clients freak out, second that emotion: Expert
PRACTICE MANAGEMENT DEC 12, 2011
When clients freak out, second that emotion: Expert

Dismissing fears likely to trigger a bad decision; avoiding the Y word

FINTECH DEC 11, 2011
Here's an easier way to gauge lost cost basis

Everyone agrees that determining the cost basis of securities is a big headache.

FINTECH DEC 08, 2011
InvestmentNews Technology Directory to make its debut this week

After a great deal of effort and teamwork, the <i>InvestmentNews</i> Technology Directory will be introduced online Wednesday.

Main topic of conversation with clients? The roller coaster
PRACTICE MANAGEMENT DEC 08, 2011
Main topic of conversation with clients? The roller coaster

Market ups and downs on everyone's mind, survey shows; lots more phone calls

Fiduciary standard an RIA's best friend
RIAS DEC 08, 2011
Fiduciary standard an RIA's best friend

Every time the debate over the fiduciary standard of client care hits the news, RIAs pick up a few more clients.

PRACTICE MANAGEMENT DEC 05, 2011
Nurse! Rise in health insurance premiums off the charts

Employees share spiked 63 percent over seven years; workers now pay nearly 14K a year

PRACTICE MANAGEMENT DEC 05, 2011
Hiring at your advisory firm? Don't get left behind

After several difficult years, financial measures across the advisory industry have turned positive

PRACTICE MANAGEMENT DEC 04, 2011
Finra outsider elected to seat on appeals board

PRACTICE MANAGEMENT DEC 04, 2011
What to know before you go