Your Practice

Displaying 13035 results
PRACTICE MANAGEMENT AUG 06, 2010
How to seal the deal

When courting potential clients, advisers typically trumpet their services —as they should. But advisers need to go beyond the standard tick box of offerings.

FINTECH AUG 06, 2010
Morningstar quietly adds QuoteSpeed to its advisory menu

Morningstar QuoteSpeed, an online application which has been available in beta form since last October, has now officially become part of the company's lineup of products for advisers.

FINTECH AUG 06, 2010
AIG's B-D network keeps its eye on technology

The AIG broker-dealer network, now called Advisor Group, has managed to invest in and enhance its technology, despite the turmoil surrounding its parent company, American International Group Inc.

RIAS AUG 02, 2010
HighTower adds adviser recruiters from Fidelity, UBS

HighTower Advisors LLC, a dually-registered firm that has been successful in luring talent from wirehouses, today announced that it is furthering its expansion efforts by hiring two recruiters who will focus on the Midwest and Western regions of the country.

RIAS AUG 02, 2010
HighTower chief blasts lift-out lawsuit from Morgan Stanley

Elliot Weissbluth calls suit an intimidation tactic designed to deter other advisers from leaving

RIAS AUG 02, 2010
MSSB team in N.Y. jumps ship to join surging HighTower

HighTower Advisors LLC last Tuesday announced that it had snapped up another team of advisers, this time from Morgan Stanley Smith Barney LLC.

PRACTICE MANAGEMENT JUL 30, 2010
Advisers patronizing, dismissive of women clients: Survey

Women control about 27% of the world's wealth — roughly $20 trillion — but many feel that their advisers patronize them. What's more, many contend that they don't get the same “square deal” as men.

RIAS JUL 30, 2010
Ex-Wells Fargo broker opens indie shop in his branch's shadow

Jeffrey Sica spent more than four years plotting his move from Wells Fargo Advisors LLC to independence but stumbled a day before he planned to give notice.

RIAS JUL 30, 2010
TD Ameritrade recruiting breakaway brokers at a rapid clip

TD Ameritrade Institutional reported today that it has attracted more breakaway advisers to the firm during the first nine months of its current fiscal year than it did in all of fiscal 2009.

RIAS JUL 30, 2010
RIAs increasing payouts, employee benefits: TD survey

Registered investment advisers are starting to increase compensation levels at their firms — and are also spending more on employee benefits — according to a survey from TD Ameritrade Institutional.

FINTECH JUL 29, 2010
Two popular adviser applications now integrated with PreciseFP

FINTECH JUL 29, 2010
Envestnet acquires B-Ready

FINTECH JUL 29, 2010
Envestnet files for $100M IPO

Envestnet, a Chicago company that provides Web-based services for financial advisers, filed for an initial public offering of stock worth up to $100 million Friday.

PRACTICE MANAGEMENT JUL 28, 2010
Two traders arrested over alleged $1.3 billion scam

The FBI said Wednesday the operators of a Connecticut-based company have been arrested in New York on securities fraud charges.

FINTECH JUL 27, 2010
CRM Software updates Junxure and ClientView Live

CRM Software Inc. has released significant updates to both its popular CRM system and its separate ClientView Live secure web portal.

FINTECH JUL 27, 2010
Kasina's 'What Advisors Do Online 2010' a bit different from last year but still interesting

RIAS JUL 27, 2010
Rockefeller & Co. comes up with new name, but no new CEO

Rockefeller & Co., Inc., the wealth management firm that has been looking for a chief executive since the suicide of CEO James McDonald last fall, has changed its name to Rockefeller Financial.

FINTECH JUL 25, 2010
Tech firms may be reform law's beneficiary

With their day-to-day business practices likely to change as a result of the new financial-reform law, broker-dealers are scrambling to assess their technology preparedness.

PRACTICE MANAGEMENT JUL 20, 2010
Merrill Lynch adviser, seduced by Burgundy, concocts Grand Cru

Ray Walker was happily employed as a financial adviser at Merrill Lynch & Co. in San Francisco until a gulp of wine coerced him into leaving for France to buy $140,000 worth of grapes with a dream to rival powerhouse Burgundy domaines such as Romanee-Conti and Corton-Andre.

RIAS JUL 19, 2010
Big recruiting deals in AdviserLand: What's going on?