Practice Management

Displaying 9356 results
OPINION DEC 08, 2009
Thanksgiving fast approaching, but there's still time to give thanks to clients

By Maureen Wilke
Compliance departments on red alert for insider trading
PRACTICE MANAGEMENT DEC 08, 2009
Compliance departments on red alert for insider trading

In the wake of the alleged insider-trading ring involving hedge fund manager Galleon Group, compliance departments at asset management firms and broker-dealers are stepping up their vigilance.

By Jessica Toonkel Marquez
PRACTICE MANAGEMENT DEC 08, 2009
How to effectively manage time for client reviews

The focus for most advisers over the next three months will be on executing client reviews and completing the follow-ups. This is the most important service an adviser can perform for clients in today's market, so don't clutter your team's calendars with other activities. When done right, client reviews are an effective business builder.

By Mark Bruno
RIA NEWS DEC 07, 2009
Despite lean times, client appreciation events still a must

Although costs are tight for many advisers, these types of client appreciation events remain extremely important — especially following last year's market collapse, which left many clients worried about their financial future.

By Lisa Shidler
PRACTICE MANAGEMENT DEC 07, 2009
Feds seize Ferrari from Fla. lawyer accused of $100M fraud scheme

Federal agents are seizing assets from a Florida lawyer suspected of orchestrating a multimillion-dollar fraud scheme.

By Associated Press
ALTERNATIVES DEC 07, 2009
Hedge fund charged with running Ponzi scheme

The SEC today charged an unregistered hedge fund with operating a large-scale scheme that it said defrauded hundreds of investors millions of dollars.

By Bloomberg
RETIREMENT PLANNING DEC 06, 2009
A deep bench: Each client is served by a team, typically of 3 advisers, and has access to partners

It's very rare that an investor gets the expertise of an entire financial planning team, but at Budros Ruhlin & Roe Inc., that's exactly what they get.

By Jessica Toonkel Marquez
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
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
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
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
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
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
FINTECH DEC 01, 2009
XBRL still a foreign language for advisers

By Davis Janowski
RIA NEWS 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
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
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
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
PRACTICE MANAGEMENT NOV 22, 2009
Labor Department reworking investment advice rule

By Jessica Toonkel Marquez
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