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Rivals watch, wait as MSSB starts tweeting

May 29, 2011

Although its wirehouse rivals are keeping their electronic drawbridges closed to social media, Morgan Stanley Smith Barney LLC last week became the first major Wall Street firm to allow its financial advisers to use popular networking websites....

Webcast transcript: Key findings of the InvestmentNews RIA technology study

May 22, 2011

The following is an edited transcript of the webcast “Key Findings of the InvestmentNews RIA Technology Study,” which was held May 5. InvestmentNewsDirector of custom research Kelli Cruz moderated the panel. Panelists included David Welling,...

How financial advisers can prove the value of their fees

May 22, 2011

The financial crisis has shaken client confidence in markets and in financial advice professionals all around the world. More than ever, clients want to know what advisers really do for the fees or commissions they charge. The experience of...

Things getting ugly between Buffett and the man who would be Buffett

April 28, 2011

David Sokol violated Berkshire Hathaway Inc.'s insider-trading rules and misled the company about his personal stake in Lubrizol Corp., which he recommended as a takeover target to Chairman Warren Buffett, the firm said. An 18-page report released...

For those who dare, social media rocks

April 24, 2011

While many financial advisers remain skeptical of the business-building power of social media, those who are active online say the doubters are dead wrong. “I get a lot of clients in their late 30s and 40s who are using the Internet exclusively...

Wealthy parents keeping kids in dark about inheritances

April 19, 2011

Less than half of wealthy Americans say that leaving an inheritance is important, according to a survey by U.S. Trust. “I think it's reflective of the mindset of a lot of the baby-boomer generation,” said Keith Banks, president of U.S. Trust,...

For advisers, being creative is essential, not an option

April 10, 2011

Every financial adviser needs to be creative. It is in the job description. In our hypercompetitive environment, new and innovative ideas provide the foundation for effective marketing. It is the ability to think creatively that determines how...

The gold medal quality advisers can no longer ignore

February 20, 2018

As the 2018 Winter Olympics continue to generate headlines around the world, I've taken notice of what these athletes must inherently possess just to qualify for the Olympics, let alone win a medal. They're the gold standard for their respective...

Retirement? There's an app for that

March 13, 2011

Imagine giving your clients an interactive retirement calculator that is about as simple to operate as an Etch A Sketch but can handle complex hypothetical scenarios — all with no initial manual data input required. The Retire Logix program...

How technology can convert do-it-yourselfers

March 6, 2011

Financial advisers continue to amaze me with their ability to harness technology to do business in new, creative ways. Take Michael Black, a solo practitioner in Scottsdale, Ariz., whose firm, Michael Phillips Black Wealth Management, manages...

SEC said to ‘sweep' advisory firms for social-media info

February 14, 2011

The Securities and Exchange Commission is said to have begun a sweep of registered investment advisers' use of social media and social networking, according to officials at an industry compliance firm. The SEC has asked advisers for documentation...

How advisers can avoid IRS scrutiny

February 13, 2011

The IRS has just given the green light to Paul — on his 2007 tax return. The Midwest-based wirehouse adviser, who asked that his surname and affiliation not be disclosed, received a notice from the agency two years ago telling him that his...

New Medicare law could spark client-adviser talks

December 28, 2010

A new Medicare rule encouraging patients and doctors to discuss end-of-life planning could prompt those patients to bring up the subject with their family, financial adviser and attorney. “When you talk about end-of-life planning, it brings...

Best gift of all? Tax bill hikes gifting exemption

December 14, 2010

Families would be able to make tax-free gifts to their children or others of as much as $10 million, an increase from the current limit of $2 million, under the tax-cut bill Congress is debating this week. Beginning in 2011, an individual U.S....

Baucus bids to block estate tax dodge

December 6, 2010

Senator Max Baucus is pushing a proposal intended to prevent wealthy taxpayers from transferring assets to family members before year's end and pay less in gift taxes than the levy they would face after they die. The Senate today in a procedural...

To Mac or not to Mac?

November 28, 2010

Thanks to the incredible popularity of Apple Inc.'s iPad, an increasing number of financial advisers have been asking me if it is possible to run their businesses on Apple computers instead of those designed only for Microsoft Windows. The answer...

Growth area for advisers: 'Accidental entrepreneurs'

November 14, 2010

Deep job losses from the Great Recession, combined with dried-up job markets, have created a class of “accidental entrepreneurs” — people who start businesses because they have few other options. Financial advisers, seeing more and more...

Eyeing a career move? What you need to know

October 31, 2010

Advisers continue to be on the move as the industry consolidates and repositions itself for a new era. While many advisers are choosing independence, more are making the less daunting move to another firm within the same channel. Some advisers...

RIA owners should know what their firm is worth, but many don't get valuations

February 15, 2018

Nothing perks up the owner of a financial advisory firm quite like a conversation about valuations, but for some reason most firm owners never make the effort to determine exactly what their business is worth until they're being acquired. "I...

Smith Barney vets start up own firm — but face legal tangle with MSSB

October 14, 2010

A $500 million-plus team in Eugene, Ore., has left Morgan Stanley Smith Barney LLC to set up as an independent advisory firm — but not without a legal challenge by MSSB. Sapient Private Wealth Management LLC, which launched today, is lead...

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