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Investment Advisor April 1, 2011 Mark Tibergien	The Solicitor's Apprentice When building an advisory business, solicitors can bring clients -- but can they also bring value?
Investment Advisor March 1, 2011 Thomas D. Giachetti	Get Form ADV Right New requirements and changing deadlines could make filing Form ADV a tricky business.
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.
On Wall Street December 1, 2012 Alan J. Foxman	Sales Assistant Activities Limited by Finra Rules Our legal expert explains what your assistant can and cannot do with trade processing.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Investment Advisor February 2007 Thomas D. Giachetti	When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.
Investment Advisor July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Financial Advisor October 2004 Chaplin & Giachetti	Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply?
Financial Planning June 1, 2007 Kathy Gevlin	Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction.
Financial Advisor May 2011 Daniel Bernstein	The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take.
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 November 2009 James J. Green	Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased.
Investment Advisor June 2010 Angela Herbers	From Senior to Partner A description of a smooth transition from senior advisor to partner.
On Wall Street September 1, 2011 Alan J. Foxman	To Share Or Not to Share (Revenue) I'm preparing to merge my small brokerage firm with a registered investment adviser. Do we have to wait for FINRA approval before we can close the transaction?
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 Planning April 1, 2006 Laurie Lennox	Know Your Team To be successful in the high-net-worth market, financial advisers must know their limitations and establish alliances with a network of qualified professionals to address client needs outside the expertise or abilities of the "quarterback."
On Wall Street April 1, 2011 Alan J. Foxman	The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...
Investment Advisor May 2009 Kelli Cruz	Walk On The trend of wirehouse advisors joining the independent RIA channel has ramped up significantly in the last several years, and is only increasing in the wake of Wall Street's epic meltdown.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Investment Advisor August 2008 Thomas D. Giachetti	The Three Troubling Themes How to combat compliance misunderstanding and misdirection.
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
Investment Advisor October 2008 Mark Tibergien	The Paradox of the Accountant Advisory practices operating inside of certified public accountant firms are growing but still remain a paradox.
AskMen.com December 9, 2001 Rashmikant Patel	Trusting Your Advisor Many of us are looking back at our investments over the last couple of years, and blaming our advisors for the less than stellar performance. It all comes down to one issue: do you trust your financial advisor?
Entrepreneur June 2009 Asheesh Advani	Put Your Advisory Board to Work It's time to rethink the roll of advisors and how they are compensated.
Registered Rep. December 4, 2012 Megan Leonhardt	(No) Experience Necessary When it comes to being a financial advisor, the more experience -- the more years you have on you -- the better, right? Not quite. A new study shows that firms should be cautious when bringing aboard advisors heavy on experience.
Investment Advisor October 2007 Bob Clark	Difference of Opinion A debate about a major issue facing many advisory firms, namely, the conflicting interests they must wrestle with when deciding how to handle defecting advisors who leave the firm, taking clients with them.
Investment Advisor January 1, 2011 Thomas D. Giachetti	Keeping Political Contributions Compliant A new rule on political contributions by investment advisors may make donations dangerous.
Investment Advisor May 2008 Thomas D. Giachetti	Got Unhappy Clients? How to protect yourself from client complaints in volatile times.
Registered Rep. September 4, 2013 David Armstrong	Editor's Letter: September 2013 Most advisors decide to move not because they are wooed to greener pastures, but because pain points inside their current environment have become too great.
The Motley Fool October 30, 2006 Dan Caplinger	Avoid the Boiler Room Some financial advisors know more about sales than they do about investing. Finding good financial advice is tough. Investors with little or no knowledge about their finances are extremely vulnerable to disreputable professionals.
Investment Advisor July 2006 Thomas D. Giachetti, esq.	Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.
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 November 2009 Bruce W. Fraser	Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world.
Financial Advisor September 2010 David Lawrence	The Need For Simplicity How to prepare reports efficiently while keeping them understandable for clients. First in a two-part article on retirement issues for advisors.
Financial Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
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.
Investment Advisor December 2009 Angela Herbers	The Fast Track: Figures Don't Lie Finding the compensation benchmarks you need may take work.
On Wall Street May 1, 2012 Alan J. Foxman	All Tied Up The author answers questions about waiving fees for clients and registering an advisory business in California.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Investment Advisor April 2010 Ray Sclafani	Demystifying Referrals To build a client acquisition system, break the process down into nuggets.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
Investment Advisor October 2010 Thomas D. Giachetti	Custody: Why You May Actually Have It Advisors responsibilities have changed under the SEC's new custody rule.
Financial Planning December 1, 2008 Scott Schutte	Setting Yourself Apart The wave of retiring baby boomers in the coming years will pave the way for advisors who wish to move away from traditional investment management and focus on specialized financial planning and wealth management services.
Registered Rep. May 9, 2011 Gleeson & Britton	New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer.
Financial Planning March 1, 2013 Kenneth Corbin	SEC Registration Deadline Looms As annual registration nears, compliance experts warn RIAs to be cautious about their numbers.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
Registered Rep. April 1, 2005 Matt Oechsli	Appearances Matter Wealthy clients weigh a lot of factors when choosing a financial advisor --- cost of services is one of them, but it is far from the most important.
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.