Practice Management

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PRACTICE MANAGEMENT MAY 16, 2010
Make client appreciation a family affair

Summer is just around the corner — a time when many financial advisers hold client appreciation events.

By Libby Dubick
OPINION MAY 16, 2010
Don't ignore the death of a loved one

For better or worse, professionals rely on our society's standard conventions and accepted phrases to offer solace at a wake or funeral

By Amy Florian
PRACTICE MANAGEMENT MAY 16, 2010
Adjusting to the financial home front

Three years after returning from the war in Iraq, Clarence Parker is facing a new battle: managing his finances.

By Lisa Shidler
PRACTICE MANAGEMENT MAY 13, 2010
My biggest mistake: Pushing a prospect too hard

A few years ago, adviser Jeff Bland was approached by an executive from Houston-based oil company Cameron International Corp. who was searching for an adviser to manage his more than $6 million in assets.

By Lisa Shidler
FINTECH MAY 12, 2010
How advisers are using video to connect with clients

Financial advisers at the InvestmentNews Retirement Income Summit discuss their strategies for using video on their firms' websites

By Mark Bruno
RETIREMENT PLANNING MAY 11, 2010
Go beyond the call of duty - just not for everyone

Although some financial advisers are always thinking of ways to go above and beyond to provide extra services to clients, Paul Baumbach sticks to managing his clients' investments.

By Lisa Shidler
FINTECH MAY 10, 2010
No tech or system failures associated with yesterday's decline: Nasdaq

By Davis Janowski
Guess how many advisers are talking to clients now
PRACTICE MANAGEMENT MAY 07, 2010
Guess how many advisers are talking to clients now

Thursday's stock market whipsaw sent many financial advisers into client management mode — fielding calls and sending out e-mails as the Dow Jones Industrial Average briefly tested a record 1,000-point drop.

By Bloomberg
PRACTICE MANAGEMENT MAY 06, 2010
Big shake-up at big brokerage branches in New York

Wells Fargo Advisors, UBS, MSSB and Merrill Lynch made personnel changes this week

By Jed Horowitz
RIA NEWS MAY 06, 2010
OpINion online: Sow or reap? That's the question for advisers

My friends at <a href=www.businesshealth.com>Business Health</a>, an international consulting firm that specializes in financial advisory businesses, recently came out with a report comparing the financial &#8220;health&#8221; of Australian advisory practices today with their condition in 2007.

By Bloomberg
Eight of Finra's top 10 execs pulled down $1M-plus last year
PRACTICE MANAGEMENT MAY 03, 2010
Eight of Finra's top 10 execs pulled down $1M-plus last year

Meanwhile, regulatory fees were up by 10.5% in 2010; overall, regulator posted $55M net profit

By Dan Jamieson
PRACTICE MANAGEMENT MAY 03, 2010
Mortified? Ex-wife of Guggenheim Partners exec headlines reality show

Guggenheim Partner's Topper Mortimer's ex-wife -- the high priestess of NYC's high society -- gets her own show just months after getting a divorce from the money manager.

By Associated Press
PRACTICE MANAGEMENT MAY 02, 2010
AIG's broker-dealer network loses another star rep

Latest to leave embattled firm since the federal government's bailout of American International Group Inc., the broker-dealer network's parent company

By Bruce Kelly
PRACTICE MANAGEMENT APR 25, 2010
Using education as a way to stand out

As this is Financial Literacy Month, now is a great time to consider providing clients with financial education as a way to differentiate your practice.

By John Comer
PRACTICE MANAGEMENT APR 23, 2010
Pitching clients on the golf course? Ten tips for financial advisers

It's easy to get stymied out on the links &#8211; particularly if you fail to observe the unwritten rules for schmoozing during a round.

By Mark Bruno
RIA NEWS APR 23, 2010
Do Firms Sue When They Are Afraid to Compete?

How can an Advisor or a Firm &quot;own&quot; someone else's money?

By Danny Sarch
PRACTICE MANAGEMENT APR 22, 2010
Advisers driving for growth on the golf course

When adviser E. Kim Dignum invites clients or prospects out to play the hilly, meandering course at Mira Vista Country Club in Fort Worth, Texas, she obeys her one unspoken rule of golf etiquette: Play to win.

By Lisa Shidler
PRACTICE MANAGEMENT APR 22, 2010
BofA wants to train – not recruit – up to 2,000 new brokers this year

After trimming the ranks of its brokerage force, Bank of America Corp. wants to put more troops in the field again &#8212; this time by promoting and training foot soldiers

By Hilary Johnson
PRACTICE MANAGEMENT APR 20, 2010
PriceMetrix launches free equity commission guide

Firm unveils a market-based equity commission guide designed for financial advisers

By Lisa Shidler
It's 12:00 — Do you know where your clients' assets are?
PRACTICE MANAGEMENT APR 20, 2010
It's 12:00 — Do you know where your clients' assets are?

Jonathan Smith's heart began to race when he opened the e-mail alert on Tuesday from TD Ameritrade. The alert stated that one of his closest clients had filed paperwork to transfer nearly $ 1 million in assets away from the adviser.

By Lisa Shidler