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PRACTICE MANAGEMENT MAR 31, 2011
States pushing back ADV-2 deadlines

Although many federally registered advisers were scrambling to meet yesterday's filing date for the new ADV Part 2 forms, state-registered advisers in several states, including Michigan, Pennsylvania and Texas, were enjoying a bit of a reprieve.

RIAS MAR 31, 2011
ADV overhaul: Plain English is Greek to some advisers

Many financial advisers are finding out that they aren't as fluent in English as they thought

RIAS MAR 31, 2011
Profiling? Advisers get more time to work up bios of staff

Advisers have an additional four months to prepare “plain English” brochure supplements about their investment personnel thanks to an extension granted by the Securities and Exchange Commission late last month.

FINTECH MAR 30, 2011
Retirement? There's an app for that

Imagine giving your clients an interactive retirement calculator that is about as simple to operate as an Etch A Sketch but can handle complex hypothetical scenarios — all with no initial manual data input required

Prickly BofA slaps 'garden leave' restrictions on advisers
PRACTICE MANAGEMENT MAR 30, 2011
Prickly BofA slaps 'garden leave' restrictions on advisers

But spokeswoman for United Trust claims move is merely a streamlining of existing policies

U.S. Trust loses $5.9B adviser to new wealth venture
RIAS MAR 30, 2011
U.S. Trust loses $5.9B adviser to new wealth venture

Todd S. Thomson, Citigroup Inc.'s former head of wealth management, lured a top Bank of America Corp. financial adviser with $5.9 billion in client assets to join a new business that caters to independent advisory firms.

RETIREMENT PLANNING MAR 29, 2011
Salaries inching up for entry-level financial advisers

With the economy seemingly on the mend, newbie financial advisers are finding that it's a great time to be breaking into the game

PRACTICE MANAGEMENT MAR 28, 2011
Client advisory boards assume greater role in wake of crisis

The client advisory board, which some financial advisers have long used to cement key client relationships, is attracting more interest in the wake of the financial crisis, which left many advisers looking for ways to improve their businesses

FINTECH MAR 25, 2011
Technology helps advisers tap insight on global scale

Since true out-of-the-box innovation in adviser technology is relatively rare, my antennae are always up, looking for new, interesting angles to share with readers

FINTECH MAR 25, 2011
How technology can convert do-it-yourselfers

Financial advisers continue to amaze me with their ability to harness technology to do business in new, creative ways

New Form ADV-2 adding costs, confusion for advisers
RIAS MAR 25, 2011
New Form ADV-2 adding costs, confusion for advisers

A new rule aimed at making the financial advisory business more understandable to clients is giving advisers a headache.

FINTECH MAR 25, 2011
Free Form ADV Part 2 template available to advisers

Adviser's YouTube video attracts $1M client
FINTECH MAR 24, 2011
Adviser's YouTube video attracts $1M client

While it'll never compete with Justin Bieber, one financial planner's You Tube post on standards of client care has become an unlikely hit. In fact, he's even attracted a million-dollar account thanks to the unusual come-on.

What the wealthy really want from advisers
PRACTICE MANAGEMENT MAR 24, 2011
What the wealthy really want from advisers

More face time, for starters; ranking shows Atlantic Trust scores well with clients

PRACTICE MANAGEMENT MAR 24, 2011
Why most advisers are leaving money on the table

Advisers who raised prices through the financial crisis and its aftermath attracted more new clients and assets than advisers who lowered prices

Advisers not charging enough: Study
RIAS MAR 24, 2011
Advisers not charging enough: Study

Many fee-based advisers are under-charging for their services and cheaper rates do not bring in more clients, study finds

RIAS MAR 24, 2011
Are your wealthy clients cheating on you?

Reluctant to entrust their financial assets to any one financial adviser, the nation's top tier of investors is spreading its wealth. In fact, new research shows that well over half of wealthy clients now work with at least five advisers.

RIAS MAR 24, 2011
United Capital moving up the food chain, buys $1.6B RIA

Purchase of Zirkin-Cutler biggest acquisition to date for roll-up firm

PRACTICE MANAGEMENT MAR 18, 2011
Tricks of the trade: How some advisers are now winning over prospects

Cold calls are dead and dinner seminars passé, so financial advisers are using other marketing tactics to attract skeptical and increasingly jaded prospects

PRACTICE MANAGEMENT MAR 18, 2011
Rich clients finally diversifying – starting with their advisers

A new survey reveals that over half of wealthy clients are now working with at least five -- count 'em -- five advisers. That's a big jump. Two years ago, only 16% of the rich said they used four advisers.