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Advisers arming themselves against cyberattacks

August 12, 2014

Financial advisers are changing their systems and procedures to protect clients and their own firms from the rising incidence of cybersecurity breaches. Advisers are taking such steps as verifying money requests, being more careful about passwords,...

Larry Roth: Defining the next 10 years for independent broker-dealers

August 12, 2014

When the independent advice business began to gain serious traction more than two decades ago, it was supported by the growth of independent broker-dealers bringing together like-minded advisers who could focus on serving clients with a true...

6 books that changed Joe Duran's life

August 11, 2014

As we approach the final languid days of summer I thought I'd share some of the books that helped open my eyes, gave me hope and changed my life for the better. I've listed them in the order I read them and how they shaped my perspective on...

What role should advisers play in protecting clients from Internet fraud?

August 11, 2014

As financial advisers, what role can and should we play in helping our clients avoid Internet fraud? Certainly we must safeguard our internal structures so that private client information is not exposed to unintended parties, meaning we must...

Brokers' own accounts tip off firms to a move

August 11, 2014

Brokerage firms may be monitoring their brokers' investment accounts for signs that a broker is about to jump ship. Firms have long monitored brokers' personal trading accounts for signs of suspicious trading activity. But certain behaviors...

Ready for prime time: Advisers get into launching their own video series

August 11, 2014

As adviser David B. Armstrong tells it, he really got into making movies after he produced a video a couple of years ago to talk about his firm, his military experience and his dog. The video acts as an introduction to Mr. Armstrong, a managing...

Prospect's no is a step closer to yes

August 10, 2014

Prospecting is key to adviser success. It's fundamental. Building a book of business is not easy and very few advisers will say they have either enough clients or enough of the right clients — so they're always interested in new prospects,...

CFP Board: Talking tough but acting soft

August 10, 2014

Slowly, but surely, the Certified Financial Planner Board of Standards Inc. is backing itself into a corner. In its bid to assert a higher moral authority over the financial advice industry by requiring that its more than 70,000 certificants...

3 questions advisers should ask themselves before buying new technology

August 8, 2014

You hear it everywhere. Technology is evolving rapidly and to stay ahead you must jump in or your business will stumble. It's true that technology available for advisers today can make an incredible difference in their businesses — from creating...

CFP Board tightens grip on who can use 'candidate' designation

August 8, 2014

The organization that grants the certified financial planner credential is restricting the way people trying to obtain the mark can describe themselves. V. Raymond Ferrara, chairman of the Certified Financial Planner Board of Standards Inc.,...

Why more graduates aren't sitting for the CFP mark

August 8, 2014

The CFP Board of Standards Inc. is digging around to try and figure out why many financial planning program graduates don't go on to attain the certified financial planner mark. Early results are telling. A recent study showed that 69%, or 351...

Why advisers need to recalibrate their services for female clients

August 7, 2014

It only takes a cursory glance at the phenomenon surrounding women and their wealth to realize that the landscape is shifting, irreversibly, in a direction that will have a significant impact on financial advisers. Research and statistics highlight...

How savvy financial advisers work with successful women

August 7, 2014

Women currently control more than $11 trillion in investable assets and counting. Many predict that women will own two-thirds of the nation's wealth by 2030. A compelling body of recent research shows that executive women are one of the most...

Weighing the pros, cons and costs of virtual desktops

August 7, 2014

Buttonwood Financial Advisors is a registered investment adviser with three employees, $61 million in assets under management, 105 clients and little interest in hiring an information technology staff dedicated to supporting the firm's increasingly...

How to create a culture of success at your firm

August 7, 2014

As wealth advisers, we spend our days elbow deep in portfolio management, estate planning, market analysis and other endeavors important to the financial success — and ultimate satisfaction — of our clients. Yet more goes into building a...

When she earns more: Tips for working with couples

August 7, 2014

As women's economic power continues to rise, the definition of what it means to be a couple is shifting. According to Farnoosh Torabi's new book, "When She Makes More" (Hudson Street Press, 2014), the percentage of married couples with higher-earning...

Possible election to Congress has this adviser thinking of practice transition

August 6, 2014

J. French Hill is thinking through a challenge many financial advisers face — transitioning out of his practice — but is doing so not because of declining health or pending retirement. His change involves a possible career move to Capitol...

LinkedIn launches sales tool but will advisers want to pay for it?

August 4, 2014

Social-media giant LinkedIn has launched a data-driven sales tool for use by financial services professionals, but whether advisers will want to pay for the service remains an open question. Called Sales Navigator, the social-selling tool uses...

Lebenthal lands $600 million BNY Mellon team

August 4, 2014

Lebenthal Holdings is continuing its push into the wealth management space with the addition of a $600 million duo to its up-and-coming investment advice unit, Lebenthal Wealth Advisors. The addition of Brendan Goldstein and William Patterson,...

Advisers put a green thumb on their businesses

August 4, 2014

Jim Koch, an investment manager at Koch Capital Management in Alamo, Calif., decided to go paperless years ago. By giving up the reams of paper he once used and instead sending his documents to a web-based server in the cloud, he has been able...

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