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Investment Advisor
January 2006
Andrew Gluck |
The Gluck Report: Financial Planning's Future Financial planning software is better than ever. Here's a look at what the big four are up to: Financeware... Profiles+Professional... MoneyGuidePro... NaviPlan Extended...   |
Investment Advisor
September 2005
Andrew Gluck |
The Gluck Report, Part III: Planning Software Test Drives A review of Oltis Software LLC's Finance Logix Visual Advisor: This is a powerful, graphically rich, sales-oriented program that is easy to use and would satisfy the needs of most financial planners. |
Investment Advisor
April 2006
Andrew Gluck |
Your Best Partners More and more, financial advisors are using technology tools to offer additional services and become more efficient. |
Financial Advisor
May 2008
Joel Bruckenstein |
Retirement Good Fortune Silver Financial Planner from MoneyTree Software is one of the top choices for advisors looking for a dedicated retirement planning tool. |
Financial Advisor
November 2003
Joel Bruckenstein |
New And Improved Software providers enhance existing products for financial advisors and add new ones. |
Financial Advisor
May 2006
Andrew Gluck |
New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements. |
Investment Advisor
November 2006
Lauren Barack |
Plug 'N Play Financial planning software firms are streamlining their programs -- even down to those client graphs and charts. |
Financial Advisor
June 2006
Joel Bruckenstein |
Aging Gracefully Profiles+ continues to improve more than 30 years after the financial planning software premiered... Universal Desktop Application (UDA)... Financial Profiles+ Professional 7.6... |
Financial Advisor
September 2005
Joel Bruckenstein |
Financial Planning Software--An Update Developments provide new opportunities for advisors: NaviPlan... MoneyGuidePro... Financial Profiles... etc. |
Registered Rep.
January 1, 2007
David A. Geracioti |
What Advisors Look Like Now Here are selected highlights from a reader survey selected from wirehouses, independent broker/dealers, RIAs, financial planners, bank brokers and insurance reps that offers a pulse from this demographic on business trends. |
Investment Advisor
September 2005
Andrew Gluck |
The Gluck Report, Part I: Second Act A Techfi pioneer returns with new portfolio management software: although Rob Major has some work to do over the next year or two to make AssetBook a viable competitor, there's a good chance he can overcome the hurdles. |
Financial Planning
February 1, 2007
Joel Bruckenstein |
Retirement Software: Do You Have What Boomers Need? Here is a radical proposal for serving the next generation of retirees more effectively -- and profitably. |
Investment Advisor
July 2006
Melanie Waddell |
Retirement Planning: Keying Into Income Needs Two of the top providers of financial planning software -- Morningstar and EISI -- are heeding advisors' calls for help in crafting retirement distribution strategies. |
Financial Advisor
July 2007
Joel Bruckenstein |
Much-Needed Makeover One of the most widely deployed financial planning programs on the market, Profiles Professional Version 8.0, gets a new look. |
Investment Advisor
March 2006
Melanie Waddell |
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. |
Registered Rep.
May 1, 2006
Jennifer Popovec |
All Under One Roof Financial advisors are learning to focus on real estate, because clients whose advisors hold licenses will have less of a reason to stray. In fact, advisors may have an advantage over real estate agents. |
Investment Advisor
July 2007
Jonathan Henschen |
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... |
Financial Advisor
July 2006
Joel P. Bruckenstein |
Noteworthy Notebook The program PFP Notebook can be a good planning solution for new and low-volume financial planning practices. |
Registered Rep.
February 2, 2006
Kristen French |
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
Registered Rep.
December 1, 2006
John Churchill |
Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners? |
Financial Advisor
July 2010
Joel P. Bruckenstein |
Best Of Both Worlds? From simple needs-assessment tools to the comprehensive and detail-oriented NaviPlan Extended software package, EISI's financial planning products cover the gamut of advisors' needs. |
Financial Advisor
February 2007
Joel Bruckenstein |
Easy-To-Use Retirement Software Although they have hitches, these professional retirement planning software packages are surprisingly good for basic planning: OppenheimerFunds Retirement Income Manager 2.0... Retirement Savings Planner From Torrid Technologies Inc... etc. |
Financial Advisor
May 2006
David L. Lawrence |
Integrated Advisor Platforms Software can help financial advisors with the one-stop-shop approach. |
Investment Advisor
June 2006
Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. |
Registered Rep.
December 1, 2005
Andrew Osterland |
Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes. |
Registered Rep.
January 1, 2003
David A. Gaffen |
Wachovia Software Emphasizes Goals Wachovia Securities wants advisors to know where their clients want to be, not just where they are now. The firm plans early this year to unveil a new software package for its advisors to help clients figure out their retirement goals and the appropriate investments to get them there. |
Financial Advisor
September 2008
Andrew Gluck |
Reeling In Freelancers Advisory firms have adopted some aspects of a virtual office, and the most captivating among them is hiring freelancers over the Web instead of using staff. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
Financial Advisor
January 2007
Tere D'Amato |
Faux Financial Planning If you aren't indispensable to clients, in the end a life insurance agent may fill the void. As a financial advisor, you should resolve to do all you can in 2007 to ensure that your clients understand the pivotal role you play in their financial life. |
Registered Rep.
March 31, 2015
Megan Leonhardt |
The Increasingly Happy Broker Generally speaking, the smaller the firm, the happier the broker, according to our fifth Independent Broker/Dealer Report Card survey. |
Registered Rep.
September 1, 2004
Will Leitch |
For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association. |
Financial Advisor
September 2010
Andrew Gluck |
Broken Plans Financial advisors urgently need improved tools for coping with the economic mess we're in. What's to be done? |
Investment Advisor
August 2010
Melanie Waddell |
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas. |
Registered Rep.
August 1, 2005
Janet Arrowood |
The Great Insurance Race Given all the benefits that insurance can deliver to both registered reps and clients, an increasing number of reps are deciding it's worth the effort. |
Investment Advisor
January 2006
Kathleen M. McBride |
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients. |
Investment Advisor
October 2007
Lauren Barack |
The Longevity Race People are living longer. Software makers are helping advisors figure out how to make clients' portfolios last longer, too. |
Investment Advisor
February 2008
Angela Herbers |
Barring the Door How to stop training your (future) competition. |
Registered Rep.
February 1, 2006
Kristen French |
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so. |
Investment Advisor
October 2008
Bob Clark |
The Real Deal MarketCounsel is focused on taking the independent advisory model to the next level. |
Financial Advisor
May 2004 |
Frontline News Saving for college costs through 529 plans is a strategy that's gotten a lot of attention from advisors and their clients during the past few years. Lately, however, the investment vehicles are undergoing a different type of scrutiny: investigations by regulators. |
Financial Advisor
September 2009 |
Frontline News News for the financial services industry: Regulations, Fiduciaries And Other Things... Breakaway Broker Trend Slowing?... Barney Frank Won't Push SRO For Advisors... CFP Board's Proposed New Education Standard... M&A Activity Down, But Not Out... more... |
Registered Rep.
January 1, 2003
Gaffen & Geracioti |
The Future of the Industry The broker has to be a person who can handle every aspect of a client's financial life. The broker must evolve into a kind of chief financial officer for the client -- managing everything from investments to insurance to estate planning to mortgage banking. |
Investment Advisor
August 2005
Mark Tibergien |
Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers. |
Investment Advisor
February 2007
Kathleen M. McBride |
A Matter of Life and Health For many advisors who are affiliated with independent broker/dealers and either running, or employed by, a small business, health insurance coverage can be expensive and sometimes elusive. That may be changing. |
Registered Rep.
January 1, 2007
Nancy Opiela |
Love, Life...Insurance In general, life and health insurance are subjects financial advisors discuss reluctantly and infrequently. But they're tools that are essential to wealth management. |
Investment Advisor
March 2006
Robert F. Keane |
Safety First No one wants to pay for E&O insurance, but advisors admit it helps them sleep better. |
Financial Advisor
June 2007
Tracey Longo |
Finding Even Greater Growth The Financial Advisor Symposium in Las Vegas focused on practice growth strategies. |
Registered Rep.
March 31, 2015
Diana Britton |
The Rare Prop Product In REP.'s fifth annual Independent Broker/Dealer Report Card, only 19 percent of 2,058 advisors surveyed said they sell in-house or proprietary products. |
Registered Rep.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
