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The new adviser imperative: Getting the most bang for your technology buck
How can you get the most out of your technology investments?
Retain top clients through a simple communication plan
Clients are anxious and likely to bolt. A study last fall by wealth analyst Russ Alan Prince found that 81% of those with $1 million or more in investible assets plan to take money away from their current adviser.
Wachovia stops offering profit-formula deals
Wachovia Securities last month stopped offering recruitment packages to potential recruits to its profit-formula platform.
Financial advisers seek ways to reward over-stressed assistants
Financial advisers exhausted from dealing with stressed-out clients now find themselves dealing with another stressed-out constituency: their assistants.
Advisers to get a peek at their peers
The Foundation for Financial Planning's annual Be Our Guest program kicks off next month when six of the nation's top financial planners open their firms' doors to colleagues from around the country.
Making your retirement advisory board work
Over the past four weeks, we have outlined the steps for building a retirement advisory board. Now comes the hard part — making it happen.
Take action with your retirement advisory board
If you have just come back from the InvestmentNews Retirement Summit, you are probably thinking about how to let clients know you are a resource for their retirement needs.
Slott to advisers: ‘Get visible, get remembered’
A high-tax environment can be a win-win for clients with a Roth IRA and for financial advisers who would like to expand their businesses, according to financial guru Edward A. Slott.
Making the most of retirement advisory board meetings
Retirement advisory boards can be invaluable to your business, but the fastest way to make them fail is to make them all about you.
Is your advisory business salable?
If you ever wondered what would make your independent brokerage or financial planning business attractive to a buyer, ask me.
Developing a calendar for your retirement advisory board
The challenge: While there are countless ways a retirement advisory board can be of value to your practice, it’s difficult to sustain the board’s excitement and energy after the first meeting.
Feds crack down on advisers in Massachusetts
Warning to larcenous advisers: Don't try anything in Massachusetts.
Fidelity to help advisers train employees
Fidelity Investments today unveiled a program to help registered investments advisers hire, develop and retain employees.
Lack of SEC enforcement called cuplrit in lax oversight
Scandals in the financial markets over the past several years are the result of enforcement failures and a lack of regulators with industry-specific knowledge, not a need for increased regulation.
Top exec predicts record recruiting year
Raymond James expects a record recruiting year, as reps and advisers flee struggling wirehouses to join the St. Petersburg, Fla.-based company.
Justice Dept. chastises UBS chairman over IRS fraud probe
In the most direct evidence yet tying UBS Chairman Peter Kurer to oversight failures at the Swiss bank, the U.S. Justice Department last month criticized as inadequate an internal investigation that he supervised.
Advisers take on challenge of clients with Alzheimer’s
Suzanne Hall knows firsthand how difficult it is to watch a family member struggle with Alzheimer’s disease.
IRS must help Madoff victims, says Rep. Ackerman
The Internal Revenue Service should immediately issue guidance that would allow customers defrauded by New York-based Bernard L. Madoff Securities LLC.
Major leaguer broke because of Stanford scandal
Scott Eyre, a left-handed relief pitcher with the reigning World Series champion Philadelphia Phillies, has joined the roster of major-league players ensnared by the Stanford Financial scandal.
Madoff’s market making operation being sold
Trustees handling Bernard L. Madoff Securities is in the process of selling the market making operation connected with the firm, trustee Irving Picard said today .
