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I passed the CFP exam (but you can't call me a certified financial planner)

December 26, 2013

I received a wonderful early Christmas gift this year: I was notified Dec. 20 that I passed the CFP Board's certification exam. As the national pass rate for the November 2013 CFP exam was a mere 63%, I felt it was an enormous accomplishment...

Making the most of the holiday season

December 24, 2013

The holiday season is in full swing. As year-end rolls in, it is an opportune time to reflect on how much we appreciate our family, staff, friends and clients. As I think about appreciation, I'm fine with admitting that it feels a lot nicer...

The 5 biggest social media lessons from 2013 - Social media's big impact

December 23, 2013

2013 was an important year for social media, and via BloombergNews, here are five of the biggest lessons the financial community learned from social media in the past year. (Source: Bloomberg News)

The 10 biggest adviser moves of 2013 - The year's biggest adviser moves

December 22, 2013

2013 featured over 330 adviser moves reported and added to the InvestmentNews Advisers on the Move database. The year in adviser moves featured 17 teams with previous client assets exceeding $1 billion changing firms. We’ve pulled together...

Analyzing how advisory firms handle their expenses - Key to productivity: managing expenses

December 22, 2013

From the 2013 InvestmentNews/Moss Adams Compensation & Staffing Study, here’s a deeper look at how advisory firms manage their expenses. Productivity is the key to financial success for firms: 63% of the revenues of a firm and over 77% of...

2013's five biggest beneficiaries of adviser moves - The top firms by net change in AUM

December 22, 2013

2013 was a busy year for adviser movement, and via the InvestmentNews Advisers on the Move Database, we’ve pulled together a list of the top five firms that saw the biggest positive assets under management change in 2013. Click through to...

Advisers plan to focus on efficiency, but can I suggest another goal?

December 20, 2013

Financial advisers are looking toward 2014 as the year to make their businesses run like well-oiled machines. At industry events and cocktail parties, they sound determined to find ways of making their firms more efficient. They're talking about...

In rare move, Finra bars individual rep over nontraded REIT sales

December 19, 2013

The Financial Industry Regulatory Authority Inc. last week barred a former LPL Financial broker for several violations of securities industry rules, including falsifying documents, related to the sale of nontraded real estate investment trusts...

In 2014, carrot and stick for advisers at Wells Fargo

December 19, 2013

Wells Fargo & Co.’s largest group of financial advisers will have to generate more revenue or meet new performance targets in 2014 in order to pocket the same cut of revenue they earned this year. But the third-largest brokerage will also...

LinkedIn disrupts adviser recruiting

December 19, 2013

Recruiters in the financial services industry are hurting, and they are blaming LinkedIn. Job openings for which companies had previously hired the services of third-party recruiters are now routinely posted on LinkedIn, and large companies...

If you want it, here it is. Come and get it

December 18, 2013

As I do almost every year at about this time, I listen to Napoleon Hill's, “Think and Grow Rich.” Every time I do, I have another epiphany. I was in Chapter 2 and Napoleon was talking about transmutation and visualization. Once, many years...

What’s in a firm name (or rename)?

December 18, 2013

Just as parents may agonize over naming their newborn, financial advisers often labor over what to call their new business. A quarter century ago, Grant Rawdin struggled with what to name the investment advisory firm he was starting out of the...

Husbands stifle wife-adviser relationships

December 17, 2013

Why aren't wives more involved in interactions around their family's finances with their adviser? Turns out the husband is partly culpable — and part of the solution. For about 58% of couples, men are the primary contact with the financial...

Adviser military backgrounds can earn veteran clients' trust

December 15, 2013

When Russell Robertson retired from the U.S. Army as a colonel in 2007, he chose to turn his longtime passion for investing into a profession that would help fellow military retirees. “I was an engineer [in the Army], so I did some interviews...

Advisers who specialize in a profession are invaluable

December 15, 2013

Mackenzie Martin loves animals and majored in animal sciences at Oregon State University, but she doesn't like the blood or needles that are a necessary part of life for veterinarians. So instead, Ms. Martin has carved out a niche for herself...

Financial first aid for the medical profession

December 15, 2013

When North Star Consultants Inc. adviser Gregory R. Wikelius started his career, he did what many in his position have done before — picked up the phone and began the arduous process of cold-calling potential clients. He called. And called....

Providing financial wisdom for the academic crowd

December 15, 2013

As an adviser with a niche practice serving professors, Jim Lange understands the thinking of academics, whose careers have been driven by the love of intellectual pursuit rather than money. A bit of an academic himself, Mr. Lange is a certified...

Relax, clients don't want to hear from you via Twitter

December 13, 2013

All the proclamations that financial advisers have to master social media so that they can communicate with clients and prospects appear to have been wrong, or at least premature. Investors — whether they have $100,000 to invest or more than...

How to use CPAs to attract new business

December 13, 2013

As I have built my practice through strategic and professional partnerships, I am often asked: How do I effectively work with CPAs? Advisers understand the benefits of having a revenue-sharing relationship with top accounting firms. Conversely,...

Who's your dream client? Time to figure it out

December 12, 2013

Three-quarters of advisers can't clearly describe who their ideal client is and that could be hurting their business, according to a Financial Planning Association report issued Wednesday. Only 25% of financial advisers have formally defined...

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