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PRACTICE MANAGEMENT MAR 15, 2011
Bulk of small-biz owners to tap own assets to stay afloat

View from down in the trenches downright gloomy, survey finds

The lifestages of your practice: Getting started
RETIREMENT PLANNING MAR 13, 2011
The lifestages of your practice: Getting started

Going independent has never been easier, but there are still a host of issues to consider. This first installment of a four-part special report explores the ins-and-outs of starting your own practice.

BROKER DEALERS MAR 13, 2011
Reach out and ask somebody

Seek out advice from others who have gone out on their own

PRACTICE MANAGEMENT MAR 13, 2011
Why meshing sales and marketing is important

The terms “sales” and “marketing” are used interchangeably, but they aren't the same

PRACTICE MANAGEMENT MAR 13, 2011
The importance of a continuity plan

Are you a fiduciary? Do you have a fully tested and documented continuity plan? If you answered, “yes,” to the former, you need to answer, “yes,” to the latter

PRACTICE MANAGEMENT MAR 13, 2011
Hiring and welcoming COOs to firms isn't easy

When the owners of an advisory firm turn over everyday operations to a senior-level employee, it is a watershed decision — and it is usually one that most firms avoid as long as they can

FINTECH MAR 11, 2011
INTV: Dodging the CRM gotchas

RETIREMENT PLANNING MAR 11, 2011
Fiduciary rule change could mean compliance crush for B-Ds

Financial adviser training and compliance expenses could spike for broker-dealers of all sizes — and become especially burdensome to smaller firms — if the Labor Department applies its proposed fiduciary rule to individual retirement accounts, observers say.

FINTECH MAR 11, 2011
What the SEC is requesting from advisers on social media

The Securities and Exchange Commission recently began a &quot;sweep&quot; of investment advisory firms to gather information about their use of social media. (Read: <a href=http://www.investmentnews.com/article/20110214/FREE/110219962>'SEC said to 'sweep' advisory firms'.)</a>

The rise of the RIAs: $1.7T and counting
RIAS MAR 10, 2011
The rise of the RIAs: $1.7T and counting

Assets to the RIA channel have more than tripled over the last ten years, a trend that is 'redefining the way investment advice is delivered'

FINTECH MAR 10, 2011
A leg up for mass affluent clients at Bank of America Merrill Lynch

PRACTICE MANAGEMENT MAR 09, 2011
How advisers can avoid IRS scrutiny

The IRS has just given the green light to Paul &#8212; on his 2007 tax return

Best gift of all? Tax bill hikes gifting exemption
RETIREMENT PLANNING MAR 09, 2011
Best gift of all? Tax bill hikes gifting exemption

Measure dramatically raises amount families can dole out tax-free; 'take it while you can'

FINTECH MAR 06, 2011
Measuring a client's financial health

With an eye toward addressing the industrywide challenges of effective client profiling, Omyen Corp. has developed the Personal Financial Index

Krawcheck to Merrill brokers: No 'garden leave' for you
PRACTICE MANAGEMENT MAR 04, 2011
Krawcheck to Merrill brokers: No 'garden leave' for you

Sallie Krawcheck, head of Bank of America Corp.'s wealth management division, sternly told Merrill Lynch financial advisers that a new &#8220;garden leave&#8221; policy doesn't apply to them, despite recent speculation

PRACTICE MANAGEMENT MAR 04, 2011
Going viral? 'A day in the life of a financial adviser'

With more than 22,000 views since November 2010, this spoof has obviously struck a chord with financial advisers. Any of this sound familiar?

PRACTICE MANAGEMENT MAR 04, 2011
Billions in client assets on the move

Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers. Many were also lured by big bucks, according to recruiters and industry experts.

PRACTICE MANAGEMENT MAR 03, 2011
Teaching doctors to ID vulnerable seniors

Physicians are foot soldiers in states' battle to protect elderly from fraud

Advisers warm up to Twitter, give cold shoulder to cold calling
FINTECH MAR 01, 2011
Advisers warm up to Twitter, give cold shoulder to cold calling

Increasingly, social media the choice for reaching out to prospects

Morgan Stanley blocks ex-employee's website
PRACTICE MANAGEMENT MAR 01, 2011
Morgan Stanley blocks ex-employee's website

Workers not allowed to access Dinevore, says creator of the online food guide