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FINTECH JUN 07, 2009
Will Pershing's NetX360 live up to its promise of full integration?

All eyes are on Pershing LLC's new technology platform to see whether it will fulfill its promise to offer advisers full integration with third-party technology vendors.

FINTECH JUN 05, 2009
PlanPlus adds three non-English versions of its planning software

PlanPlus has added Spanish-, Chinese- and French-language versions of its software, which before had been available only in English.

FINTECH JUN 03, 2009
Pershing unveils NetX360 platform for advisers

Pershing LLC has launched NetX360 for advisers, after a two-year project to consolidate existing systems into a single technology.

PRACTICE MANAGEMENT JUN 01, 2009
Deliver high-impact summer events cost-effectively

Advisers are looking for ideas about how to stay connected to clients and plan events for clients on a limited budget.

RIAS MAY 31, 2009
Independent advisory firms' outreach pays off for some

Independent advisory firms have stepped up their outreach efforts, and the largest firms continue to open accounts even though their assets under management have dropped.

PRACTICE MANAGEMENT MAY 31, 2009
Hope is not a business strategy

I hope that the market goes up this year.

PRACTICE MANAGEMENT MAY 29, 2009
SEC sues defunct Brookstreet Securities and its former CEO

Federal regulators have sued a defunct California investment brokerage and its former CEO, accusing them of fraud in selling more than $300 million worth of risky mortgage-backed securities to unsophisticated investors.

FINTECH MAY 29, 2009
White papers could guide advisers on going paperless and other technology topics

The paperless office is more appealing to financial advisers than ever — at least if the amount of e-mail I receive on the subject is any indication.

FINTECH MAY 27, 2009
Head of adviser technology at Charles Schwab departs for SSG Inc.

Dan Skiles, formerly the vice president of adviser technology with Charles Schwab & Co. Inc., today joined Shareholders Service Group Inc. of San Diego, a brokerage and custodial firm for independent registered investment advisers.

PRACTICE MANAGEMENT MAY 27, 2009
Schapiro said to backtrack on third-party compliance audits

In what may be a reprieve for advisory firms, including those under pressure from tight budgets, Securities and Exchange Commission chairman Mary Schapiro seems to have backed off from an idea that would require some advisory firms to undergo third-party compliance procedure audits.

PRACTICE MANAGEMENT MAY 24, 2009
Small advisory practices decline 20% in value

Like everything from houses to Hummers, advisory practices are now on sale, say industry leaders, who note a change in deal structures that give buyers an edge.

FINTECH MAY 24, 2009
Tech funds' performance breeds confidence in market

Mutual funds that invest in technology stocks are producing great returns — a sign that the market in general is improving, some say — and investors are starting to respond.

FINTECH MAY 22, 2009
New website allows investors to make sure advisers are legit

The service looks into the background of financial advisers through civil and criminal background checks, credit reports, financial liens and bankruptcy proceedings and more.

OPINION MAY 18, 2009
Summer client events that generate referrals

Summertime is coming up quickly and you know you want to hold client events, however you don't have the staff or budget available in the past. How can you create events that will impress clients and gain referrals?

PRACTICE MANAGEMENT MAY 17, 2009
How advisers can create a marketing plan

I recently spoke to a roomful of financial advisers who focus on active investment management.

PRACTICE MANAGEMENT MAY 17, 2009
Welcome to the new frontier

The trust factor within the world of financial services has been nuked — “getting Madoffed” is replacing “Ponzi scheme,” clients have become numb with fear and the adviser-client relationship will never be the same.

RIAS MAY 17, 2009
Financial advisers face a crisis of confidence

Many financial advisers are suffering a crisis of confidence that is hurting their relationships with existing clients and hampering their abilities to recruit new clients.

PRACTICE MANAGEMENT MAY 17, 2009
Online test reveals high levels of stress among advisers

Arlene Moore has coped with the market's ups and downs more than 20 years as an adviser, but the most recent downturn has been different.

PRACTICE MANAGEMENT MAY 17, 2009
Developing skills to work with clients more effectively

The following edited transcript is from &#8220;Are You an Emotionally Intelligent Adviser?&#8221; an </i>InvestmentNews<i> webcast held May 6.

PRACTICE MANAGEMENT MAY 17, 2009
Assessing -adviser stress