Practice Management

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Advisers on the Move: The top 10 gainers (assets)
PRACTICE MANAGEMENT AUG 01, 2011
Advisers on the Move: The top 10 gainers (assets)

The following is a list of the ten firms that attracted financial advisers with the most assets during the 12-month period ending March 31, 2011, according to data recorded in the InvestmentNews <a href=InvestmentNews <a href=http://www.investmentnews.com/section/recruiting-moves>Advisers on the Move</a> database. During that time, InvestmentNews tracked 544 financial advisers that have changed firms, with more than $76 billion in client assets at the time of their departure.

By Mark Bruno
PRACTICE MANAGEMENT JUL 29, 2011
Identifying elder financial fraud

Advisers can be guardians of their elderly clients' best interests, shielding them from financial fraud in ways that even family members can't

By Liz Skinner
SEC makes it official: Adviser switch delayed until March 30
PRACTICE MANAGEMENT JUL 28, 2011
SEC makes it official: Adviser switch delayed until March 30

Investment advisers who must migrate from regulation by the Securities and Exchange Commission to state oversight now will have extra time to make the transition.

By Mark Schoeff Jr. and Dan Jamieson
PRACTICE MANAGEMENT JUL 25, 2011
LPL latest to deploy social-media archiving system

Independent broker-dealer selects Erado's API-based archiving, tracking and post-review tool

By Davis Janowski
FINTECH JUL 24, 2011
Getting a handle on adviser technology

Who uses which technology products and are they satisfied? Where is adviser technology going?

By MFXFeeder
FINTECH JUL 24, 2011
People are key to making technology work

Respondents to the recent <i>InvestmentNews</i> RIA Technology Study overwhelmingly (95%) rated technology as either &#8220;critical&#8221; or &#8220;absolutely critical&#8221; to the success of their business

By Kelli Cruz
Merrill Lynch grabs UBS team of $2.5M producers
PRACTICE MANAGEMENT JUL 19, 2011
Merrill Lynch grabs UBS team of $2.5M producers

A four-man team of financial advisers from UBS Financial Services Inc. managing $277 million in assets with trailing-12-month production of $2.5 million has joined the Palm Beach complex of Bank of America Merrill Lynch.

By Andrew Osterland
PRACTICE MANAGEMENT JUL 17, 2011
Channeling finance

Need a way to explain Ponzi schemes?

By Jana Kasperkevic
C'mon Irene: Advisers say they're ready for hurricane
PRACTICE MANAGEMENT JUL 13, 2011
C'mon Irene: Advisers say they're ready for hurricane

While much of the East Coast battens down the hatches ahead of Hurricane Irene, advisers in the path of the storm say they're not overly concerned about what the nasty weather will do to their operations. One piece of advice: buy a generator.

By Lavonne Kuykendall
NFL star sues 'long-term friend' for investment in airplane hangars
PRACTICE MANAGEMENT JUL 12, 2011
NFL star sues 'long-term friend' for investment in airplane hangars

Alex Brown, a defensive end with the New Orleans Saints, is suing his former team of financial advisers, alleging that they &#8220;abused the trust&#8221; of the player and his wife.

By Bloomberg
Paterno's home sale legit estate-planning move: Lawyers
RETIREMENT PLANNING JUL 11, 2011
Paterno's home sale legit estate-planning move: Lawyers

Joe Paterno, the under-fire Penn State Nittany Lion coaching legend, has been assailed by some for selling his home to his wife for $1? The claim? Paterno was attempting to shield his assets from potential lawsuits. Not so, say estate lawyers in Pennsylvania. | <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Avis=CI&amp;Dato=20110711&amp;Kategori=FREE&amp;Lopenr=711009999&amp;Ref=PH>PSU ranked No.1 &#8212; on the list of most expensive state schools &amp;raquo;</a>

By Liz Skinner
PRACTICE MANAGEMENT JUL 11, 2011
Many unhappy returns

With the debt-ceiling fast approaching, it's pretty certain taxes aren't going to go down -- and are likely to go up for wealthy filers. Here's what advisers are telling their clients to do to minimize the bite.

By John Goff
PRACTICE MANAGEMENT JUL 10, 2011
Succession planning: The answer within

Internal succession tends to be far less disruptive than other succession routes, observers said. That is because it usually takes place gradually &#8212; often over a period of years rather than months.

By Lavonne Kuykendall
INDEPENDENT BROKER DEALERS JUL 10, 2011
Independent broker-dealers fishing for top talent

Recruiting will become more expensive in 2011 as the fight for top advisers heats up among independent broker-dealers looking to bounce back from a lackluster 2010.

By Bruce Kelly
PRACTICE MANAGEMENT JUL 08, 2011
Three hurdles to enacting a plan

The most popular succession plan among financial advisers is to have no plan at all

By Barnaby Grist
ETFs attract the right kind of crowd for advisers: Study
PRACTICE MANAGEMENT JUL 05, 2011
ETFs attract the right kind of crowd for advisers: Study

A compilation of research shows that exchange-traded-fund investors are wealthier, younger, and more engaged than their mutual fund counterparts -- in other words, practically perfect clients. So why aren't more advisers embracing ETFs?

By Jeff Benjamin
Women stressed about finances — but not sure what to do
PRACTICE MANAGEMENT JUL 05, 2011
Women stressed about finances — but not sure what to do

A new survey reveals that women are more stressed about their money than men. They're also less certain about what to do about their finances.

By John Goff
Why so few breakaways? Too much regulation, says Pershing exec
PRACTICE MANAGEMENT JUL 05, 2011
Why so few breakaways? Too much regulation, says Pershing exec

Because the barrier to going independent is 'higher than ever,' claims Pershing's Mark Tibergien. He may be on to something.

By Dan Jamieson
PRACTICE MANAGEMENT JUN 28, 2011
Finra to update adviser exams

Finra yesterday began surveying registered representatives and principals about their job functions as a first step in updating qualification exams.

By Dan Jamieson
GAO pans financial literacy programs
RIA NEWS JUN 26, 2011
GAO pans financial literacy programs

A federal certification would strain resources; some simple approaches help

By Bloomberg