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New Form ADV-2 adding costs, confusion
PRACTICE MANAGEMENT JAN 11, 2011
New Form ADV-2 adding costs, confusion

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

RIAS JAN 09, 2011
The next frontiers in wealth management

As we enter the New Year, financial advisers are probably asking themselves about the strength of the recovery and whether their firm is positioned to capture new clients and talent

FINTECH JAN 06, 2011
TD Ameritrade Institutional reporting progress on its open API initiative

Top advisers with $68B in client assets jumped ship in 2010
RIAS JAN 05, 2011
Top advisers with $68B in client assets jumped ship in 2010

Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers, according to <i>InvestmentNews</i> data.

RIAS JAN 05, 2011
A headhunter's dinner with three unhappy advisers, Part 4

A Wirehouse Adviser, Regional Firm Broker, and a Boutique Firm Adviser are sitting with me for dinner. None of them are particularly happy with their current firms.

RIAS JAN 05, 2011
A headhunter's dinner with three unhappy advisers, Part 3

RIAS JAN 05, 2011
A headunter's dinner with three unhappy advisers, Part 2

RIAS JAN 05, 2011
My dinner with three unhappy advisers, Part 1

RETIREMENT PLANNING JAN 03, 2011
'Logistics issues' force NAPFA to relocate annual conference

The National Association of Personal Financial Advisors is moving its May national conference to Salt Lake City from Las Vegas, where it was originally scheduled.

EQUITIES JAN 03, 2011
The 2011 Outlook

Financial advisers are upbeat about prospects for stocks in 2011, with many predicting that last year's broad market surge will continue into this year. That's what they're telling their clients, too.

PRACTICE MANAGEMENT DEC 29, 2010
Raymond James picks up $150M team from RBC

Raymond James Investment Advisors has landed a $150 million in assets team from RBC Wealth Management.

PRACTICE MANAGEMENT DEC 27, 2010
Custodians heighten scrutiny of new and veteran advisers

Custodial firms have been raising the compliance bar for registered investment advisers, in some cases making it tougher for them to find a home.

RIAs rebounding, but regulatory uncertainty looming large
RIAS DEC 27, 2010
RIAs rebounding, but regulatory uncertainty looming large

Most registered investment advisers had a solid 2010 &#8212; they expanded their businesses, added clients and were even able to bump up their budgets a bit. Their feelings for the future, however, are not quite as fond.

Fidelity targeting 'top 200' wirehouse teams, exec says
RIAS DEC 23, 2010
Fidelity targeting 'top 200' wirehouse teams, exec says

As Fidelity continues to focus on luring breakaway brokers, a top executive at the firm noted specifically that the company is zeroing in on the very top-producing teams at wirehouses.

PRACTICE MANAGEMENT DEC 22, 2010
Advisers offer up some intriguing New Year's resolutions

Pledges run the gamut from practical to whimsical; taxation, meditation mentioned

RIAS DEC 21, 2010
Where the billion-dollar brokers went in 2010

PRACTICE MANAGEMENT DEC 21, 2010
Firms declare war on deadbeat brokers

Death tax could still be killed
RIAS DEC 21, 2010
Death tax could still be killed

Business groups, Republicans vow to dismantle the provision, piece by piece

RIAS DEC 19, 2010
Cyberattacks: A clear and present danger

FINTECH DEC 19, 2010
The new Client 360 brings it all together

Client 360 has been officially reborn.