Practice Management

Displaying 9289 results
YOUR PRACTICE PRACTICE MANAGEMENT DEC 06, 2009
Add 'tactical solutions' to buy & hold

For years, portfolio managers and financial reps around the country have used Modern Portfolio Theory in managing their clients' assets.

By Bloomberg
YOUR PRACTICE PRACTICE MANAGEMENT DEC 06, 2009
Interns can make the leap to professional level with coaching

More than a dozen years later, Ryan Huey still remembers cornering the father of a college classmate and asking him for a summer job.

By Hilary Johnson
YOUR PRACTICE FINTECH DEC 06, 2009
Advisers embracing 'cloud computing'

Adviser Curtis Smith doesn't have to worry about getting to the office; it comes to him.

By Davis Janowski
YOUR PRACTICE PRACTICE MANAGEMENT DEC 04, 2009
Planning for family, employee succession

Although succession planning involves many decisions and alternatives, there is one outcome that is always an either/or option: Ownership of the practice will pass either to a family member or to an outsider.

By Art Auerbach
One way to break into the 401(k) market
YOUR PRACTICE PRACTICE MANAGEMENT DEC 03, 2009
One way to break into the 401(k) market

Mention 401(k) to financial advisers and most will say that they lack the knowledge, resources and time to compete with the relative handful of those who specialize in retirement plan sales.

By Michael Case Smith
YOUR PRACTICE PRACTICE MANAGEMENT DEC 02, 2009
Office décor can color bottom line

Financial adviser Ted Feight used to deck out his office with three-foot tall bodybuilding trophies and a large rug depicting a deer.

By Bloomberg
YOUR PRACTICE FINTECH DEC 01, 2009
XBRL still a foreign language for advisers

By Davis Janowski
YOUR PRACTICE RIAS NOV 30, 2009
Raymond James ups the ante for RIAs, raises asset requirements

Raymond James Financial Services revealed a new strategy for targeting “elite” registered investment advisers.

By Bloomberg
YOUR PRACTICE PRACTICE MANAGEMENT NOV 29, 2009
A New Year's resolution: Step up your rep

The most important thing for advisers to think about as we head into a new year is their reputation and image.

By Jennifer Connelly
YOUR PRACTICE PRACTICE MANAGEMENT NOV 29, 2009
Ex-Wall Street brokers choose new beat: NYPD

They used to ride desks and flog stocks, but now some Wall Street refugees are choosing to walk a beat and chase bad guys.

By Bruce Kelly
YOUR PRACTICE PRACTICE MANAGEMENT NOV 23, 2009
Devote time now to prepare a business plan for next year

After the turbulent year that many advisers have had, your goals should be to stay focused and keep things simple. Your business plan should include dividing clients into appropriate categories, developing a detailed communications plan with investment and lifestyle ideas, setting goals for assets under management, creating tiered service levels, and devising a top-client asset retention strategy.

By Bloomberg
YOUR PRACTICE PRACTICE MANAGEMENT NOV 22, 2009
Labor Department reworking investment advice rule

By Jessica Toonkel Marquez
YOUR PRACTICE FINTECH NOV 19, 2009
Cabinet NG launches tools to help advisers search and locate files

Cabinet NG, a document management and workflow software maker, this week launched two new tools the company says are intended to expedite searches and better access documents in its filing system <a href="//www.investmentnews.com/apps/pbcs.dll/article?AID=/20080219/PHOTOGALLERY/804931245/1102/INTechnologyNews03&quot;" target="&#8221;_blank&#8221;" rel="noopener noreferrer">CNG-Safe</a> (an acronym for Safe Access Filing Environment)

By Davis Janowski
YOUR PRACTICE PRACTICE MANAGEMENT NOV 18, 2009
88-year-old woman wins $1.1M claim against William Blair, ex-brokers

William Blair &amp; Co. LLC and two ex-brokers at the firm have been socked with a $1.1 million arbitration decision that centered on two brokers' setting up a phony e-mail address where they sent statements from the brokerage account of an 88-year-old widow.

By Bruce Kelly
YOUR PRACTICE PRACTICE MANAGEMENT NOV 17, 2009
Swiss officials ready to name names in UBS tax flap

Swiss tax authorities said Tuesday they have notified the first 500 clients of Swiss bank UBS AG whose names they want to hand over to the United States for alleged tax cheating.

By John Goff
YOUR PRACTICE PRACTICE MANAGEMENT NOV 17, 2009
Palace coup? 'Cash king' arrested, charged in alleged securities scam

State and federal prosecutors have charged seven people in an alleged securities scam that cheated dozens of people out of $17 million.

By Bloomberg
YOUR PRACTICE PRACTICE MANAGEMENT NOV 17, 2009
Cincinnati shuffle: Mark Man jumps from Reds to MSSB

When it comes to providing financial advice to athletes, Morgan Stanley Smith Barney is relying on a little inside baseball to gain an edge in this ultra-competitive sector of the wealth management market.

By Hilary Johnson
YOUR PRACTICE PRACTICE MANAGEMENT NOV 16, 2009
Denver duo bilked seniors in green scheme: SEC

By John Goff
Nicolas Cage slapped with suit from former money manager
YOUR PRACTICE PRACTICE MANAGEMENT NOV 15, 2009
Nicolas Cage slapped with suit from former money manager

Nicolas Cage is being sued by his former business manager, who claims lavish spending, not his advice, is to blame for the actor's financial problems.

By Associated Press
YOUR PRACTICE PRACTICE MANAGEMENT NOV 15, 2009
LPL continues to make gains in recruiting

LPL Investment Holdings Inc. continues to recruit heavily this year.

By Bruce Kelly