Practice Management

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PRACTICE MANAGEMENT JUN 26, 2011
What's on the menu? Working with small-fry clients

For some advisers, small is not only beautiful — it is profitable, too

By Lavonne Kuykendall
PRACTICE MANAGEMENT JUN 26, 2011
Indie-contractor debate resurfaces in California

Scrutiny over whether broker-dealer representatives are employees or independent contractors is heating up again in California as a bill works its way through the state Legislature that would punish firms for willful misclassification

By Darla Mercado
BondDesk rolls out bond-trading platform for advisers
FINTECH JUN 26, 2011
BondDesk rolls out bond-trading platform for advisers

BondWorks already in beta with 20K customers; new wealth management platform three years in the making

By Davis Janowski
PRACTICE MANAGEMENT JUN 24, 2011
Reaching out to Generation X and Y investors

With so much attention focused on baby boomers, it is easy to forget about the investment needs of the tens of millions of members of Generation X (roughly 34 to 45 years old) and Generation Y (16 to 33). It turns out that these younger investors aren't confident about investing, and more than half think that working with a financial adviser isn't worth the cost, a recent study found.

By Deborah Nason
PRACTICE MANAGEMENT JUN 23, 2011
How clients rate the big advisory firms

J.D. Power & Associates asked customers to rank their satisfaction with their investment advice firm. Who ended up on top? You'll be surprised.

By John Goff
RIA NEWS JUN 23, 2011
Growing your advisory practice: What's your next move?

After five years, financial advisory firms move from the startup stage to adolescence, where they are faced with decisions that could affect their business for the next 20 years.

By Liz Skinner
RIA NEWS JUN 23, 2011
Some advisers decide bigger isn't better

Limiting the size of their practices allows them to devote more time to clients

By Lavonne Kuykendall
Laserfiche launches iPhone app
FINTECH JUN 22, 2011
Laserfiche launches iPhone app

Mobile program allows for document and content management while away from the office

By Davis Janowski
Trailing Google, Apple said to be readying jazzed-up iPhone
FINTECH JUN 21, 2011
Trailing Google, Apple said to be readying jazzed-up iPhone

Latest model to be released in September, sources say; better camera, faster chip

By John Goff
PRACTICE MANAGEMENT JUN 21, 2011
Sarch: Are Merrill Lynch advisers nervous about Bank of America?

Three years after Bank of America rescued Merrill Lynch, BofA has hit a serious rough patch. Concerns about the bank's mortgage portfolio have welled up again. This week, those concerns drove the bank's stock price below $11. In 2006, it was at $55. The question: what do Merrill brokers make of all this?

By Danny Sarch
FINTECH JUN 21, 2011
Behind the scenes in social media

As regulators take their own sweet time coming up with guidelines for social media, the marketplace is coming up with its own solutions for financial advisers

By Davis Janowski
INDEPENDENT BROKER DEALERS JUN 19, 2011
Inflated postage charges to clients continues to dog IBD

Newbridge Securities to pay $850,000 as part of class action settlement

By Bruce Kelly
Most wealth management CEOs see clients unsatisfied: PwC
RIA NEWS JUN 19, 2011
Most wealth management CEOs see clients unsatisfied: PwC

A majority of surveyed global wealth-management execs said their clients aren't satisfied these days. Indeed, one industry adviser says many clients 'expect a lot more and tolerate a lot less.'

By Doug Cubberley
RIA NEWS JUN 19, 2011
Special report: Growing your practice

After five years, financial advisory firms move from the startup stage to adolescence, where they are faced with decisions that could affect their business for the next 20 years.

By Mark Bruno
RIA NEWS JUN 19, 2011
Referrals worth their weight in gold

The road to success for advisers may be paved with small gifts and “thank you” notes.

By Liz Skinner
RIA NEWS JUN 19, 2011
Why hiring the right support staff matters

David Blain's practice was five years old when he realized it was time to turn it from a one-man band into a quartet.

By Darla Mercado
RIA NEWS JUN 19, 2011
Outsourcing peripheral tasks lets advisers focus on growth, clients

When David Marotta started his advisory practice in 2000, he was tempted to get involved with the design of its website and the deployment of software and computer resources for the office.

By Bloomberg
RIA NEWS JUN 19, 2011
Evolving into a virtual practice can help cast a wider net for clients

Sheila Chesney can tie her practice's evolution directly to technological advancements that brought her from using her phone and e-mail as primary forms of communication to video calling.

By Darla Mercado
RIA NEWS JUN 19, 2011
How centers of influence can help build your book of business

In many ways, expanding an advisory business is like dating. Similar to the way people turn to friends to set them up, some financial advisers, such as Eliot Weissberg, have relied on local professionals to help recruit clients.

By Jessica Toonkel
RIA NEWS JUN 19, 2011
Advisers: How do you know when it's time for an upgrade?

Financial advisers, whether solo practitioners or members of a multiperson firm, need to think regularly about whether their technology is keeping pace with their business needs.

By Bloomberg