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Wall Street & Technology April 27, 2004 Jim Middlemiss	More than Managing Names and Numbers Successful CRM requires more than information. It requires tools to use that information effectively and add value to the customer relationship. Here is a look at what some financial services firms are doing.
Bank Systems & Technology August 4, 2004 Ivan Schneider	The Basics of Visuals Validators, former self-directed investors, now constitute 18 percent of the investing public. "Delegators" - those who prefer not to handle their own investing - comprise 30 percent.
Financial Planning March 1, 2005 Katherine Vessenes	Million-Dollar Method Ready for the big time? This quiz will show how you match up with your financial advisory peers.
Wall Street & Technology January 5, 2004 Jim Middlemiss	Bringing Risk Into the Mix Legg Mason is among a handful of firms revamping their wealth-management platforms to include risk management.
Financial Planning April 1, 2005 Kristen French	The Referral Challenge TD Waterhouse is betting that a referral program modeled on Schwab's highly successful system will help it hold on to high-net-worth clients.
Wall Street & Technology April 27, 2009 Penny Crosman	Extreme Makeover: Broker Workstation Edition A quest for increased adviser productivity and a forthcoming cost-basis reporting law are driving wealth management technology integrations and upgrades at Canada's largest brokerage, RBC Dominion Securities, and U.S. advisory firm Silver Bridge as well as others.
Chemistry World June 26, 2014 Patrick Walter	World's scientific advisers plan closer collaboration Scientific advisers, who provide their government with evidence that leaders can choose to use -- or ignore -- when making decisions, are becoming increasingly common across the world.
Financial Planning August 1, 2006 Joel Bruckenstein	An Explosion of Enhancements Financial advisers have lacked adequate tools to help clients get the story on retirement distribution planning. But now, a number of software providers have developed enhancements for existing programs that are targeted squarely at this burgeoning market.
Wall Street & Technology January 4, 2004	CRM: Starting to Live Up to Its Promise What's actually happening is people are finally starting to figure it out.
Financial Planning February 1, 2006 John J. Bowen	One of a Kind As investment advice becomes a commodity, it's getting harder for financial planners to differentiate themselves. Here's how to do it.
BusinessWeek September 11, 2006 Lauren Young	Taking Stock Of Your Adviser Many investors don't know how to evaluate the person in charge of their portfolios. These seven questions should help.
Wall Street & Technology July 1, 2005 Maria Santos	LightPort Streamlines Reporting LightPort is speeding up the reporting process for financial advisers with the release of Portfolio Express, which automatically collates individual pages of reports and statements into a single PDF file for each client.
Financial Planning September 1, 2005 Kathy Gevlin	Adviser Pulse New adviser survey: Optimism abounds.
Wall Street & Technology October 17, 2007 Penny Crosman	Schwab, Investment Managers Prepare for Retirement Boom Some of the 78 million baby boomers are about to retire -- how will financial advisers cope with the deluge?
Financial Planning December 1, 2005 Joel P. Bruckenstein	The Software You Need Now Trends sweeping the financial planning industry are driving new technology solutions in the year ahead. NaviPlan... Financial Profiles... Morningstar... Engagement Systems... BridgePortfolio...
Financial Planning July 1, 2005 Kathy Gevlin	Adviser Pulse Although the market is driving the investment industry toward a more holistic wealth-management approach, the transition itself needs to be carefully managed.
Financial Planning May 1, 2006 Barr & May	Service, Please! Aging baby boomers have new wealth -- and new advice needs. Is your financial planning business model flexible enough to keep you in the game?
Wall Street & Technology August 27, 2004 Fran Denmark	United, We Stand A consolidated view of clients' holdings may be the Holy Grail of investment management, but is Wall Street ready?
Wall Street & Technology July 26, 2007 Maria Wakem	Fidelity Continually Enhancing Online Retirement Planning Tools The financial firm's CIO discusses his technology philosophy and the globalization of IT.
AFP eWire May 27, 2008	Seeing Eye-to-Eye with Your Donor's Financial Adviser There are ways to collaborate with a financial adviser to fulfill the donor's goals of having a solid financial plan and making a lasting contribution to a favorite charity.
BusinessWeek April 18, 2005 Aaron Pressman	The Busiest Broker On Earth Fidelity's Internet operation has turned up the pressure on Schwab and other rivals.
Financial Planning June 1, 2005 David J. Drucker	Inner Knowledge As financial advisers, prosperity is based on building long-lasting relationships with our clients. But how can we forge these bonds if we aren't certain of the value we bring to the relationship?
T.H.E. Journal September 2000 Dr. Sylvia Charp	Collaborative Learning Options for collaborative software beyond e-mail have exploded.
Wall Street & Technology March 26, 2004 Jessica Pallay	If You Build It, Will They Come? As wealth managers battle for assets, CIOs are increasingly turning to outside vendors to build best-of-breed technology solutions.
PHONE+ Joy Milkowski	Sales Success Tools - Part I: Brand Building The author is a founder of Access Marketing Company and discusses building your brand reputation online.
Wall Street & Technology May 28, 2008 Cory Levine	Client Relationships Are Key for Wealth Managers Aite Group study finds that subject matter expertise and listening skills are most important to clients in building a strong financial planning relationship.
Financial Planning March 1, 2006 Marshall Eckblad	Adviser Pulse: Combating Clients' Fears A new survey shows 81% of polled financial advisers list "consumer fear" as a daily challenge.
Financial Planning October 1, 2005 Kathy Gevlin	White Paper As workers delay retirement, advisers respond. The vast majority of financial advisers expect retirement income planning services to become a significant source of growth for their businesses over the next five years.
Financial Planning June 1, 2006 Elizabeth O'Brien	Dueling Platforms As the major custodians enhance their technology offerings for registered investment advisers, they're all seeking a competitive edge.
Financial Planning January 1, 2006 John J. Bowen	Just Ask! Capturing more of your clients' assets is one of the most effective ways to grow your financial planning practice. Here's how to do it.
Financial Planning May 1, 2006 Stephanie Bogan	The Career Ladder Financial advisers will reap significant benefits from planning early and decisively for how to hire and promote new staff members.
Financial Planning October 1, 2005 John J. Bowen	Up Close and Personal "Know your client" isn't just industry jargon. Research shows that client-centered financial advisers get more business.
Financial Planning December 1, 2005 Beck & Tibergien	Is Your Price Right? A groundbreaking new study shows why it may be time for financial advisers to raise their fees.
Financial Planning October 1, 2005 Jerry W. Miller	Talk to Her Make no mistake: It is critical to understand your financial advisory clients. Women are attuned to the demands of successful long-term investing and also much more disposed than men to heed professional advice.
Financial Planning November 1, 2005 John Bowen	Small Steps, Big Results Financial advisers don't have to make sweeping changes in their businesses to alleviate some of their most pressing concerns, like: finding new wealthy clients... fighting for clients... growing assets... etc.
Financial Planning July 1, 2006 Stephanie Bogan	Abolishing Administrivia Administrivia is caused by many factors, but primarily it is due to poor use of time and teams by financial planners. In the end it boils down to defining your own destiny and building an organization that supports your goals, not distracts from them.
Bank Systems & Technology March 30, 2007 Nancy Feig	Mass Affluent Customers Seek Wealth Management Services Consumers with enough money for diversified investment products but not quite enough to warrant the attention of private bankers represent a new market and new opportunity for retail banks.
Financial Planning August 1, 2005 Kathy Gevlin	Adviser Pulse As the industry evolves, financial planners split into haves and have-nots.
Wall Street & Technology February 27, 2005	Support Needed Financial institutions that want to boost their retail investment businesses need to provide better support to their reps and advisers, according to a recent study by Financial Insights.
Financial Planning March 1, 2005 Michael B. Horwitz	A Matter of Touch Clients who feel cared for have a strong bond of trust with their financial advisers.
BusinessWeek August 30, 2004 Amy Borrus	Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line.
Financial Planning March 1, 2005 Andrew Miller	You've Got Mail A new compliance rule involving financial advisers and broker-dealers raises a host of questions about recordkeeping and e-mail retention.
Registered Rep. July 12, 2011 Kristen French	SEC Raises Performance Fee Threshold for Investment Advisers; CFA Backs Off Opposition to SRO Under an SEC order issued today, it will require considerably more wealth or assets for an investor to qualify to pay an investment adviser performance fees.
Registered Rep. January 19, 2011 Kristen French	In Dodd-Frank Report, SEC Champions User Fees Over SRO The study and report were meant to address a trifecta of problems: a history of weak oversight of investment advisers, current shortfalls in SEC funding and the regulator's rapidly expanding responsibilities under Dodd-Frank.
InternetNews October 3, 2005 Jim Wagner	PDFs Native to The New Office Microsoft's upcoming Office suite will include support for the format. Will Adobe feel the pressure?
Wall Street & Technology April 14, 2008 Melanie Rodier	Advisers Turn to Asset Managers for Advice During Economic Slump Nearly all financial advisers say the ability of a fund company wholesaler to deliver an informed opinion impacts their transaction decisions.
Financial Planning February 1, 2005 Julie Littlechild	The Profit Problem Understanding what a financial adviser is making--or losing--on individual clients takes a lot of work. The alternative is to keep on flying blind. Client profitability is not about cash flow, and as a result, it often gets short shrift.
BusinessWeek March 3, 2011 Christopher Condon	The Rise of the Registered Investment Adviser Providing mainly fee-based guidance, they now help manage $1.7 trillion in assets
Financial Planning September 1, 2005 Michael B. Horwitz	Head Games It shouldn't take a psychologist to decipher the underlying feelings in an individual's presenting problem. However, the helper (a.k.a. competent financial adviser) needs to be reasonably sensitive to identify and relate to the concerns and fears that clients express just below the surface.
Registered Rep. July 24, 2007 John Churchill	SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers.