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Investment Advisor October 2005	Editor's Note: The Local Solution Tip O'Neill said all politics is local. The corollary for financial planners and investment advisors -- at least for those who are independent and independent minded -- is that all planning is local.
Financial Advisor February 2006 Raymond Fazzi	Digging Out, And Digging In Financial advisors work to help begin the healing, and rebuilding, in Katrina's wake.
Foundation News & Commentary Nov/Dec 2005 Paula J. Kelly	Meeting the Needs When two devastating hurricanes struck the Gulf Coast in less than a month, it was clear that the response from the philanthropic community would need to be as unprecedented as the disaster.
Financial Advisor December 2005 David J. Drucker	Storm Windows Planners are constantly being reminded of the need for a disaster plan. Here is how these financial planners fared and were able to work right through hurricanes Katrina and Rita.
Financial Advisor October 2005	Frontline News Advisors Help Colleagues Affected By Katrina... Intuit Enters Portfolio Management Arena... Inefficient Operations Are Eating Up Revenue Growth... RIAs Overwhelmingly Oppose B-D Exemption... etc.
Searcher June 2006 Piper & Ramos	A Failure to Communicate: Politics, Scams, and Information Flow During Hurricane Katrina The Katrina disaster was exacerbated by poor communications. Some help was provided by the Internet, but it was also a breeding round for Katrina-related scams.
Investment Advisor October 2005 Kathleen M. McBride	Privileged Membership Professional associations can give financial advisors a very good idea of how well they are doing compared to their peers -- and often provide practice management guidance about how to make improvements that could yield a material difference to their bottom line.
Information Today Miguel Ramos	Katrina Relief and Outreach Developments A roundup of links to relief and outreach responses from library groups and information industry organizations.
Investment Advisor May 2006 Murphy & Green	Breaking Away As the number of breakaway brokers continues to rise, broker/dealers and custodians have implemented programs designed to make the broker's transition to independence as seamless as possible.
Investment Advisor May 2007 Kathleen M. McBride	Exemption Vacation "To be, or not to be?" a fiduciary is the question of the hour for broker/dealers.
Investment Advisor June 2006 Bob Clark	Clark at Large: Reality Check A good exercise is to periodically examine the things we know to be true and explore why we think so. Here's a list of possible misconceptions financial advisors hold to be true: Client portfolios need international exposure... It doesn't matter what the other advisors do... etc.
Investment Advisor June 2009 Angela Herbers	The Fast Track: Letting Go Success comes from helping advisors determine what they and their firms do best, and then custom-building a practice to maximize those skills.
Financial Planning December 1, 2012 Bob Veres	Defining 'Real' Planning: Who Are The Real Financial Planners? If you re not doing the hard work of developing detailed plans for your clients, maybe you need a new job description.
Financial Advisor August 2006 Tracey Longo	Pro Bono And The Profession Officials from 43 FPA chapters met to find out how to launch successful pro bono financial planning programs in their states.
Foundation News & Commentary Nov/Dec 2005 Emmett D. Carson	Beyond Relief and Recovery Philanthropy's biggest challenge in the wake of Hurricanes Katrina and Rita is to move past just doing the familiar.
National Real Estate Investor November 1, 2005 Jennifer Popovec	When the Chips Are Down Many commercial real estate professionals are working to help the Gulf Coast recover from Hurricanes Katrina and Rita. Here are a few of their stories: Building and Owners Management Association (BOMA)... Jerry Wallace Interests... etc.
Financial Planning October 1, 2013 Suzanne Sataline	One Year After Sandy, Lessons for Advisors A year after Sandy, advisors say they learned to help clients by becoming experts on small business, insurance - even home repair.
Investment Advisor September 2008 Bob Clark	Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice.
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.
Foundation News & Commentary Nov/Dec 2005 Allan R. Clyde	A Conversation with Ben Johnson An interview with the Greater New Orleans Foundation President and CEO on the status of the foundation, race and class issues, and the opportunities facing philanthropy in the rebuilding of this community.
Foundation News & Commentary Mar/Apr 2006 Sarita Venkat	Corporate Givers Revisit Disaster Grants Although corporations and corporate grantmakers have responded again and again to help after disasters -- and they give their support in a number of ways -- many believe it's time to get a clear disaster relief giving policy in place.
Registered Rep. August 5, 2010 Jerry Gleeson	Poll: Clients Love Breakaway Wirehouse Brokers Breakaway wirehouse advisors never walk alone. A new report by Aite Group on the independence movement shows that reps from the big houses demonstrate superior client retention when they leave their employers.
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.
Insurance & Technology October 7, 2005 Maria Woehr	The Sun Will Come Out For small insurance entities, recovering from a disaster often depends on a third-party provider. Here's how SunGard Availability Services maintained a third-party administrator's systems and preserved its viability in the wake of Katrina.
Entrepreneur March 2006 Jackie Larson	After the Storm For beleaguered businesses left swamped by Hurricane Katrina, survival was a matter of fight or flight. These entrepreneurs demonstrate how some accepted the challenges and opportunities that came in with the floodwater.
Financial Advisor October 2005 Karen DeMasters	Rethinking That Beachfront Property Every financial advisor needs to ask clients if they have the energy to deal with coastal property. There are more than strict financial considerations to look at when contemplating investing in an oceanfront property.
Financial Planning November 1, 2005 Pamela Black	Shelter from the Storm National disasters have underlined the importance of business continuity planning for financial advisers -- it's not just about compliance.
Information Today September 12, 2005 Miguel Ramos	Katrina Relief and Outreach Developments Here is a roundup of relief and outreach responses from library groups and information industry organizations.
National Real Estate Investor October 1, 2005 Margaret Leonard	Rebuilding After Katrina Investors and operators of more than 10,000 businesses in New Orleans have lost uncounted millions. The same storm also brought opportunities worth billions in redevelopment and restoration of a city.
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.
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.
Financial Advisor November 2007 Karen DeMasters	Fanning The Flames The Foundation for Financial Planning has been a bucket brigade that gets planners in touch with those in need -- not just of money, but advice.
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 January 2006 Bob Clark	Clark at Large: Two Steps Back? Just when FPA is moving into high gear, some of its rhetoric sounds suspiciously retro.
Energize December 2005 Susan J. Ellis	Charity Burnout? How to Cope with the Impact of Mother Nature in 2005 The huge commitment of time and money to so many areas needing disaster relief has a ripple effect on volunteer recruitment and fundraising for "everyday," local organization needs. Here are some suggestions to cope during tight times.
Investment Advisor November 2006 Angela Herbers	Operation Ownership One of the major failings of the independent advisory industry has been the reluctance of advisors with established practices to extend ownership to junior professionals who helped them attain their success.
Energize September 2005 Susan J. Ellis	The Silver Lining of Disaster Despite all the mismanagement in the Gulf Coast rescue and relief effort, the bright spots of news reporting are what people are doing to help one another. In the long term, volunteer work in response to this crisis may bring our country together in ways we can't imagine.
Investment Advisor October 2007 K. McBride & K. Stapleton	Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill.
Investment Advisor June 2009 Russ Diachok	Survival of the Fittest An assessment of who will succeed -- and fail -- among the independent B/D ranks.
Investment Advisor December 2005 Melanie Waddell	Breaking Away Brokers are finding it easier than ever to go independent, aided by custodians and other independent advisors.
Investment Advisor June 2008 Kara P. Stapleton	Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs.
Foundation News & Commentary Mar/Apr 2006 Jody Curtis	Trying to [Re]build a Better South Rebuilding after Hurricanes Katrina and Rita is going to take a lot more than putting houses back up. Letting residents have a say in their own future, and supporting self-help efforts are top priorities, too. Grantmakers will have to get creative.
Investment Advisor August 2008 Elizabeth D. Festa	Springtime for Brokers Custodians and independent B/Ds roll out the carpet.
Registered Rep. August 1, 2006	The Broker-Dealer Exemption: Good or Bad for the Investing Public? (Oy, This Still Hasn't Been Resolved?) True financial advisors -- those who hold Series 65s and Series 66s, and who are fiduciaries -- aren't too happy that Series 7-holders have been able to cast themselves as financial advisors.
Registered Rep. November 1, 2005 Christopher O'Leary	Creating an Escape Plan Independence has long been a dream of many wirehouse reps. But for the great majority of wirehouse pros, it remains simply that. Going independent is a proposition fraught with peril and is not to be taken lightly.
Registered Rep. September 10, 2007 Kristen French	FPA Helps Firms Comply With B/d Exemption Ruling The Financial Planning Association is making an effort to help brokerage firms and their advisors comply with the D.C. Court of Appeals ruling that killed the broker/dealer exemption and fee-based brokerage accounts.
Financial Advisor October 2005 Evan Simonoff	Editor's Note - When It Rains, It Pours The New Orleans debacle spawned a natural but unseemly wave of recriminations from a public that was suddenly ashamed of what happened, and divided the country.
Financial Advisor August 2006	Frontline News SEC To Research Broker Rule... The Affluent Reportedly Less Confident... Schwab Assets Boosted As Webcasts Reach Broker Converts... Space Station Vet To Speak... etc.
Registered Rep. December 1, 2004 Mindy Diamond	Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice.
Scientific American September 2007 Emily Harrison	Suffering a Slow Recovery Failed rebuilding after Katrina sets off a mental health crisis in the Gulf.