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Registered Rep. October 30, 2014 Philip Palaveev	To Ensemble or Not To Ensemble Thousands of advisors are negotiating the combination of their practices with others in order to create scale, leverage each other's skills, gain resources, and tackle succession.
Registered Rep. November 1, 2002 Jonathan Arfa	Breaking Up Is Hard to Do Brokers partner up for a variety of reasons. Some kind of contract is needed when a partnership between members of a team of brokers is formed, whether it be between a senior broker and junior colleagues or just between two seasoned brokers. Brokers should consider this contract seriously.
Registered Rep. January 1, 2007 Anne Field	Getting Hitched Here's why the merger may be the best way for a small financial advisory practice to achieve growth.
Financial Planning May 1, 2007 David Grau	Linked In As they look to recreate themselves, surprisingly few small financial practice owners consider mergers.
Investment Advisor September 2010 Mark Tibergien	Formulas For Success: Soul Mates, or Marriage of Convenience? When considering an advisory firm merger, get to know your potential partner.
Financial Advisor December 2009 David J. Drucker	Solo Replacement Finally a (nearly) foolproof succession game plan for 85% of the profession.
Registered Rep. September 1, 2005 Anne Field	Staying Together Is Hard to Do Enter into an LLC with your eyes wide open and don't expect that a solid legal structure will protect you against the human factors that make or break a partnership. While you can't guarantee that your venture will succeed, you can go a long way toward preventing it from imploding.
Global Services January 24, 2008	Negotiating Service Deals with Equity Services transactions with an equity component are complicated and are associated with a wide range of risks factors. However, they can create positive financial returns if structured carefully. Here are a few guidelines on how to structure such transaction agreements.
Financial Planning September 1, 2009 Hamburger & Walter	The Missing Piece Succession issues arise with every business, but they're more personal and are subject to more emotions in an entrepreneurial, closely held, professional services firm.
Investment Advisor January 2009 Joni Youngwirth	Now Is a Good Time to These are difficult times for clients and advisors alike, which means you should be taking some specific practice management actions in response.
Investment Advisor January 1, 2011 Mark Tibergien	The Day You Call It A Day The majority of advisors who wish to retire in three years are no more prepared for their exit from the business than those who plan to retire in 10 years.
Financial Planning November 1, 2007 David Grau	Protecting Equity As independent advisors move to evaluate, build and realize the equity in their growing practices, one holdover succession practice threatens to undermine their progress.
Financial Advisor December 2006 David L. Lawrence	Merging Traffic Merging financial advisory practices has become quite popular in recent years. Settling operational issues in advance lays the foundation for a successful merger.
InternetNews October 29, 2009	Yahoo, Microsoft Still Negotiating on Search Deal It's taking longer than expected for the two search giants to come to an agreement.
Financial Advisor September 2006 David J. Drucker	One Is The Loneliest Number Being a sole financial advisory practitioner is great -- until it's time to sell your practice.
Investment Advisor April 2007 Thomas D. Giachetti	First, Hold On to Your Clients Before selling your investment advisory firm, make sure restrictive covenants are in place.
Registered Rep. April 12, 2012 Boswell & Nichols	Advisor-Client Communications Agreements We've found that affluent clients leave advisors far more frequently for poor service than for poor financial advice.
Financial Advisor November 2012 Joni Youngwirth	From Solo To Silo, From Ensemble To Enterprise Firms evolve for many reasons. What kind of firm is yours?
Financial Advisor December 2005	When A Merger Works Balasa, Dinverno & Foltz gained many efficiencies after joining together. The resulting total has proven to be far greater than the sum of the two parts, both in terms of assets controlled by the growing firm and the satisfaction of the parties involved.
Commercial Investment Real Estate Nov/Dec 2010 Cara Lowe	Business Breakups Preparation pays off when partnerships dissolve.
The Motley Fool June 27, 2006 Dan Caplinger	Protecting Your Small Business If your business partner moves on, make sure your business can still prosper.
Financial Planning September 1, 2006 Stephanie Bogan	The Boss Can't Let Go Why your senior advisor is dragging his feet about turning over the reins of the financial advisory firm -- and what you can do about it.
Financial Advisor July 2005 David L. Lawrence	Overcoming The Profit Crunch What can the small financial practice do to stop the bleeding, given substantially increased compliance requirements that add to the cost of doing business, along with the expense of satisfying the security of information (disaster recovery planning) mandated in Sarbanes-Oxley?
Investment Advisor October 2008 Angela Herbers	Know Thyself NexGen advisors often wonder how much they should get paid. To get a fair offer, first they need to accurately determine what they're worth.
Investment Advisor July 2010 David DeVoe	Succession Planning: Planning Your Future Tips for financial advisors on choosing a successor, valuation, informing clients, etc.
Registered Rep. August 1, 2005 Janet Arrowood	When a Partner Leaves What many partners should do -- and what any rep with an insurance license can help with -- is to fund a buy/sell agreement with life insurance. Before you can come up with the appropriate insurance solution, it is important to understand the thinking that went into the structuring of the buy/sell agreement.
Registered Rep. November 1, 2004 Mindy Diamond	Weighing a Merger's Implications When a securities firm is in the process of merging with another, the knee-jerk response of many reps is to scramble for the exit. Strangely enough, this hasty reaction often is a smart one.
Investment Advisor October 2010 Angela Herbers	Show Yourself the Money Advisors need to learn to pay themselves first
Investment Advisor March 2010 Mark Tibergien	Formulas for Success: What's a Young Advisor to Do? There is evidence that young advisors feel stymied in their efforts to acquire interests in their firms.
Investment Advisor September 2008 Philip Palaveev	B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong.
Financial Advisor June 2012 Joni Youngwirth	Who Is Your Firm's CFO? Advisory firms need to better manage their financial risks.
The Motley Fool September 5, 2006 Dan Caplinger	How to Pick a Financial Advisor If you don't have the time or inclination to manage your finances on your own, it can be extremely beneficial to get help from an outside advisor. By following these basic suggestions, you can find a suitable advisor to keep you on the road to financial stability and independence.
Commercial Investment Real Estate Sep/Oct 2010 Sing & Feigl	Prepare to Work Out A plan strengthens your position in contract renegotiations.
Financial Planning September 1, 2008 John J Bowen Jr	Time to Say Goodbye Today's most successful advisors recognize a simple but powerful fact of business: It's better to work with a small number of great clients than to serve a huge base of clients who are only mediocre.
Investment Advisor August 2009 Philip Palaveev	The Palaveev Manifesto The natural state of a true investment advisory firm is a privately owned partnership that is fully controlled by the professionals who are actively involved in the delivery of advice to clients.
Investment Advisor June 2008 Mike Patton	Lessons Learned As the road smooths after a year of independence, a registered independent advisor shares his insights.
Financial Planning November 1, 2011 John J. Bowen, Jr.	Learn To Let Go The idea of shedding clients and the revenue they bring may sound reckless, especially in an uncertain economic environment. But working with non-ideal clients is holding you back from reaching your full potential.
Financial Advisor April 2005 David J. Drucker	Moving On How financial advisory firms are dealing with planners who leave, and take clients with them.
Investment Advisor June 1, 2011 Angie Herbers	Who's Responsible? Creating a culture that gives employees ownership of their jobs solves myriad problems.
Investment Advisor October 2007 Mark Tibergien	Exit, Stage Left There comes that awful realization in every advisor's life when he finds himself in the netherworld between wisdom and obsolescence. As the leader of the business, how do you know when it's time to step aside?
Financial Planning March 1, 2007 Bob Veres	Managing Growth--Your Way Do you really have to get big to keep your practice thriving? Advisors who want the advantages of a large-scale firm -- without giving up their independence -- are creating new models for success.
Financial Advisor July 2011 David Lawrence	The Mobile Advisor Is working without an office a viable business model?
Investment Advisor September 2009 Philip Palaveev	Win-Win Why a partnership is the best ownership structure for an advisory firm, and for clients.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Financial Planning February 1, 2005 John J. Bowen	Purchasing Power If you want to expand your financial advisory business by acquiring another firm, look before you leap.
Financial Planning March 1, 2007 Tere D'Amato	Buy-Sell Review If your financial advisory clients are business owners, updating their buy-sell agreements should be a regular exercise.
Financial Planning August 1, 2005 Kevin Gahagan	Practice Tips The lure of ensemble firms. Has the time come for sole financial planning practitioners to consider a new approach?
Pharmaceutical Executive October 1, 2005 Fine & Meyer	An 11-Step Program to Navigating Partnerships Commercial partnerships are an effective way to differentiate both research institutes and biotech companies. It is critical to recognize that while financial return is the primary driver of a commercial partnership, the cultural fit can sustain its success.
Financial Planning June 1, 2011 Martin Shenkman	Filed Away Every advisor knows to ask a potential client whether he or she has a will, a living trust or an insurance trust. But if an advisor wants a thorough picture of a prospective client's estate plan, the line of inquiry has to be broader.