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Financial Planning January 1, 2006 Marshall Eckblad	It's Good to Be Big...or Little As the RIA industry continues to enjoy rapid growth, mid-size firms are feeling a profit margin crunch.
Investment Advisor October 2008 Kara P. Stapleton	An Alternative Education Despite investors' lack of familiarity with alternative investments, new research suggests that they are open to them, if only they are educated first.
Financial Planning February 1, 2005 Kristen French	Hedge Funds' Surprising Appeal Independent broker-dealers are adding them at a time when the funds' returns are declining.
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.
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.
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 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.
Investment Advisor November 2009 James J. Green	Advisors Need to Think More Broadly, Act More Creatively In the tenth iteration of the Rydex AdvisorBenchmarking study lessons from the crisis can be gleaned.
Financial Planning November 1, 2005 Marion Asnes	Advisers Speak Out Our new nationwide poll shows that for all financial advisors know about asset allocation, they're still having trouble making it work.
Financial Planning March 1, 2006 Brent Hicks	Heed the Warnings Financial advisers may have to team up to survive-but there may be ways to stay independent.
Financial Planning September 1, 2005 Kathy Gevlin	Adviser Pulse New adviser survey: Optimism abounds.
Financial Planning March 1, 2006 Solow & Kitces	Test Your Tactical IQ One of the most basic decisions a planner must make is whether to follow a passive or active approach to managing client portfolios. Take this quiz to see if you're ready to become a more active asset allocator.
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.
Financial Planning December 1, 2005 Peter Cieszko	SMAs' Real Appeal You may think it's about management -- but a new survey shows that clients like the way SMAs get them close to their advisers.
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.
InternetNews December 19, 2005 Clint Boulton	Microsoft Invests in Financial Planners Microsoft unveils the Advisor Platform to make it easier for financial advisers to access customers' information.
AFP eWire November 5, 2007	Financial Advisers Need More Philanthropic Training Many financial advisers admit they are not comfortable with their knowledge of charitable giving, according to new research.
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.
Financial Planning November 1, 2005 Robert Hertzberg	Who's Tops in 401(k)s Fidelity Investments, Nationwide Financial and Principal Financial Group are the top product providers in defined contributions, according to a survey of advisers who administer 401(k) and other qualified plans for U.S. companies.
Investment Advisor March 2010	More Advisors Embrace Alternatives Advisors are increasingly turning to alternative investments, not as a source of outsized returns, but rather to provide true diversification to clients' portfolios.
Financial Planning January 1, 2011 Bogan & Doss	Get in Shape Managing your business, just as with your waistline, is easier when you have clear goals, committed behavior and the ability to monitor your progress against your goals.
Financial Planning January 1, 2007 Mike Suppappola	Compliance Tips Solicitation agreements have been around for decades. These relationships present myriad compliance issues, and advisors should keep in mind the following regulatory requirements.
BusinessWeek April 11, 2005 Toddi Gutner	Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second
Wall Street & Technology February 4, 2005 Maria Santos	Alternative Investment Tools As hedge funds gain wider acceptance in the wealth-management space, investment advisers struggle to determine how they fit into their clients' portfolios.
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.
Registered Rep. April 1, 2006 Kristen French	Compliance Costs: Double the Trouble In a study conducted in February of this year, the SIA found that annual industrywide compliance costs have nearly doubled in the past three years -- to $25 billion in 2005 from $13 billion in 2002, or 5% of the industry's annual net revenues.
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 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 Advisor July 2011 Bernie Clark	A Record Year For RIAs Discipline both on the expense and client care sides has created sound business practices for an evolving RIA industry.
Wall Street & Technology April 14, 2006 Govind Sandhu	Beyond Registration Persistent compliance efforts may be one of the most critical investments in the success of today's hedge funds.
Registered Rep. January 1, 2005 David Gaffen	The Broker and Brand X Syndrome The commoditization of the brokerage industry might be easier for individual reps to deal with, were they not under such intense pressure in virtually every other aspect of their professional lives.
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 April 1, 2005 Abigail La Croix	5 Questions A life insurance executive explains why no-load life insurance products matter.
Financial Planning March 1, 2005 O'Toole & Steiny	The Perfect Process A disciplined approach to managing client assets is at the heart of financial planning. How does yours stack up?
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 July 1, 2006 Ken Haman	Creating V.A.L.U.E. Effectively managing clients' emotions is the skill that distinguishes the most successful financial advisers from the rest of the pack. Following this five-step process can help you get started.
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.
CIO September 14, 2012 Stephanie Overby	Ten Questions to Ask Before Using a Startup Using a little-known tech firm can produce big benefits, but it requires doing your homework.
Financial Planning April 1, 2005	News Digest SEC Investment Chief Heads to Exit... Compliance: Fund Boards Gain Control over Timing Curbs... Companies: American Funds Charged for Kickbacks... Fidelity Boosts Fund Sales... etc.
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.
Financial Advisor March 2006 Marla Brill	Courting A New Crowd Rydex Investments hopes to move beyond market timers to mainstream financial advisors.
Financial Planning November 1, 2005 Kathy Gevlin	White Paper Almost all of the RIAs surveyed in this poll believe that the new SEC broker-dealer exemption rule, which allows broker-dealers to offer fee-based investment advice without complying with the fiduciary and disclosure standards of the Investment Advisers Act of 1940, is harmful to investors.
Wall Street & Technology May 30, 2007 Melanie Rodier	Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending.
Financial Planning June 1, 2005 Paramjit Mahli	Are Value-Added Programs Working? Financial planners need an array of tools at their disposal to increase and manage their businesses more effectively, and their financial service providers have been promising to help. But are they delivering?
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.
CFO December 1, 2011 Alix Stuart	The True Cost of Going Public Sarbox compliance costs pale in comparison to other IPO and post-IPO expenses.
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.
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 February 1, 2005 Len Reinhart	Multiple Choice No single product will meet all the needs of aging boomers. Advisers must develop strategies combining multiple products into retirement portfolios.
Financial Planning September 1, 2006 Jane Worthington	Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.