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Investment Advisor
December 2007
James J. Green
A Force in the West, With Aspirations The CEOs of two big California wealth management firms, Tim Kochis and Rob Francais, talk about their merger. mark for My Articles similar articles
Financial Advisor
October 2008
Raymond Fazzi
Independent Power House Kochis Fitz and Quintile Wealth Management LLC complete a merger that, according to its principals, creates the third-largest independent wealth management firm in the nation and the largest in California. mark for My Articles similar articles
Financial Planning
March 1, 2008
John J Bowen
Getting an Edge For many financial advisors, the choice to offer wealth management services isn't easy. They wonder if wealth management is really worth it. The answer is yes. mark for My Articles similar articles
Financial Advisor
November 2010
Frontline News Transparency comes to 401(k) fees... RIA to expand by offering advisors ownership stake... States getting ready for advisor oversight... Advising celebrities can be more pain than pizazz... Aspiriant buys Deloitte Investment Advisors... mark for My Articles similar articles
Financial Advisor
July 2006
The Golden Age of Growth As the RIA profession continues to grow and mature, it will be interesting to see if it retains its heterogeneous, inclusive character or evolves into a more homogenous business, as so many industries do over time. mark for My Articles similar articles
Financial Advisor Frontline News News of interest to advisors: Clients want insured investments... Francais succeeds Kochis as Aspiriant CEO... Financial Planning Association's Top Lobbyist Stepping Down... New Web sites keep advisors honest... more... mark for My Articles similar articles
Financial Advisor
February 2008
Jeff Schlegal
Strategic Moves Mergers and acquisitions activity in the financial advisory industry has accelerated during the past three years, and United Capital Financial Advisers has done its share of deal making. A profile of the Newport Beach, California-based firm. mark for My Articles similar articles
On Wall Street
June 1, 2011
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more. mark for My Articles similar articles
Financial Advisor
November 2009
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more... mark for My Articles similar articles
Financial Advisor
May 2004
Tracey Longo
Cracking the Corporate Market Some advisors talk a good game about attracting corporate executive clients. With more than $1 billion in assets, San Francisco's Tim Kochis walks the walk, too. mark for My Articles similar articles
Financial Planning
November 1, 2009
John J. Bowen Jr.
Getting the Right Help Financial services firms aren't doing enough to support the transition to wealth management. mark for My Articles similar articles
Financial Advisor
November 2003
Hinchcliff & Longo
Extraordinary Vs. Ordinary Experts at The 6th Annual Financial Advisor Symposium outlined what it takes for advisory firms to be among the best in the country. mark for My Articles similar articles
Financial Planning
September 1, 2006
John J. Bowen
Behind the Buzz Many advisors are "wealth managers" in name only. Here's how to implement the business model in your practice. mark for My Articles similar articles
Financial Advisor
November 2008
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc. mark for My Articles similar articles
Financial Advisor
March 2007
Frontline News New Firm To Invest In Advisory Businesses... Morningstar Launches SMAs... Americans Tops In Retirement Saving... Focus Unveils Major Acquisitions... National Financial Had Record-Setting Year... etc. mark for My Articles similar articles
Financial Advisor
July 2008
Frontline News News of interest to the financial community: CFP Board's New Conduct Standards... SEC Examining More RIAs... Advisors Await Word On New Privacy Regulations... First Western Buys Fourth RIA Firm, Doubles Size...etc. mark for My Articles similar articles
Financial Advisor
November 2011
Jerilyn Klein Bier
Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies. mark for My Articles similar articles
Financial Advisor
December 2010
Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc. mark for My Articles similar articles
Registered Rep.
September 1, 2004
David A. Gaffen
Clean Machines Not all of these Top 50 Advisors have spotless records, but their ability to build such huge practices speaks to how astute they are in avoiding the sorts of complaints that can bring an advisory to its knees. mark for My Articles similar articles
Financial Advisor
January 6, 2010
Frontline News Private-Placement Claims Surge... Holding Companies Holding On... Thin Wallets... Average Withdrawal Rates Decrease... UMAs Slow To Win Fans... mark for My Articles similar articles
Registered Rep.
March 1, 2008
Independent Together The "RIA-in-a-box" model will attract plenty of wirehouse reps who may have previously balked at the idea of going completely independent, fearing they were unprepared to run their own businesses. mark for My Articles similar articles
Investment Advisor
February 2009
The Future Is Now The independent advisory family is dealing with a disaster that has shaken it to its core. Having survived a brutal 2008, the future looks dim, and many advisors are frustrated at best with the present, and despairing at worst over the future. mark for My Articles similar articles
Financial Advisor
June 2005
Frontline News Advisors May Be Selling Their Own Firms Short... SEI To Open Franchises Targeting The Affluent... Acquisition Fever Hits Advisory Business, As Edelman Sells... Senior Citizen Advisor Certification Program Set To Begin... etc. mark for My Articles similar articles
Financial Advisor
January 2012
Frontline News Advisors who want to recruit Gen X and Gen Y members as clients should look to the children of their existing clients who are in or near retirement. mark for My Articles similar articles
Investment Advisor
December 2007
Upgrades LPL Financial Services has partnered with Fiduciary360... Kochis Fitz of San Francisco and Quintile Wealth Management of Los Angeles say they will merge... etc. mark for My Articles similar articles
Financial Advisor
July 2006
Dorothy Hinchcliff
Climbing A Stairway To Heaven As boomers age and spend their savings, financial advisors will need to adapt their practices. mark for My Articles similar articles
Registered Rep.
September 1, 2005
Grove & Prince
Theory to Practice For many advisors, the evolution to wealth manager remains a matter of theory, not practice. Sure, they're calling themselves wealth managers, but they're still behaving like financial advisors. mark for My Articles similar articles
Investment Advisor
May 2007
The IA 25 This year's list of the 25 most influential individuals in and around the planning profession: Mary Shapiro... Rudy Adolf... Robert Arnott... Mark Tibergien... etc. mark for My Articles similar articles
Financial Advisor
February 2010
Sherri Scordo
Frontline News Financial Services News: Branch Managers Break Away To Independence... Call For Fiduciary Standard Unites Disparate Forces (Sort Of)... Independent Contractor Status Under Review... Retirement Planning Industry To Be A Top Performer In New Decade... more... mark for My Articles similar articles
Financial Advisor
July 2006
Grove & Prince
Accountants As Wealth Managers Accountants offering wealth management can be double-edged swords -- simultaneously delivering tremendous opportunities and thorny challenges to the firms and professionals they work with each and every day. mark for My Articles similar articles
Financial Advisor
March 2012
Bernie Clark
The Changing Affluent Investor Advisors must prepare for new affluent clients and the changes, attitudes and expectations they will bring with them. mark for My Articles similar articles
Registered Rep.
June 1, 2006
Kristen French
The Wealth Management Quest Are you really a wealth manager? Do you know what the phrase really means? It pays to know, because a new compensation report shows only 8% of advisors -- across all business channels -- actually fit the bill. mark for My Articles similar articles
Financial Advisor
February 2008
Frontline News News of interest to the financial advisory industry: Fiduciary Network Buys Stake In Brouwer, Janachowski... Morningstar Names Top Fund Managers... Advisors Gather At Tech Show... State Of The Industry... etc. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
August 1, 2013
Charles Paikert
What the Rich Need Now Three new reports suggest the wealth management industry still needs improvement - and hint at a slowdown after recent growth. mark for My Articles similar articles
Financial Advisor
September 2011
Frontline News Laboring Over A Fiduciary Standard... Advisory/Brokerage Industry Still Climbing Out Of Meltdown Wreckage... Compliance Hot Spots... etc. mark for My Articles similar articles
Financial Advisor
March 2011
Frontline News News for the financial industry: RIA M&A Activity Breaks Record In '10... Residency Program: Jump-Starting A Young Planner's Career... When Do ETFs Make The Grade?... SEC To Roll Out Uniform Exam Manual... more... mark for My Articles similar articles
Financial Planning
February 1, 2011
John J. Bowen, Jr.
What CPAs Want Almost 82% of wealth managers have told CEG Worldwide that referrals from other professionals, such as CPAs, are a very important source of new clients. mark for My Articles similar articles
Financial Advisor
November 2011
Evan Simonoff
M&A Game Changer Leading custodians in the RIA space are offering acquisition financing to firms that do business with them. mark for My Articles similar articles
Financial Advisor
April 2007
Grove & Prince
Tune In To America's Core Wealthy Small business owners represent that greatest potential for growth and wealth in America. Historically, they have been a lucrative and complex client for financial advisors and will remain so. mark for My Articles similar articles
Investment Advisor
July 2006
Robert F. Keane
Getting It All Done While for many advisors taking the wealth management route is a no-brainer, it's not without potential pitfalls. Wealth management covers much more than just how much money the client has. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
July 2009
Eric Rasmussen
Surviving The Storm Account sizes, staff and profits have shrunk, but far more firms gained clients than lost them. mark for My Articles similar articles
Financial Advisor
April 2005
Grove & Prince
The Wealth Management Mindset Learning to manage solutions for unique clients: This is the third and last article in a series about the risks, rewards and challenges of wealth management. mark for My Articles similar articles
Financial Advisor
November 2009
Bruce W. Fraser
Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world. mark for My Articles similar articles
Financial Planning
October 1, 2009
John J. Bowen Jr.
Success on Purpose The right practice framework is essential to reaching success in the financial advisory industry, and the most important aspects of this framework fit into seven categories. mark for My Articles similar articles
Investment Advisor
August 2005
Melanie Waddell
The Playing Field: Serving Mid-Tier Millionaires Mid-tier millionaires desperately want to reduce the complexity of managing their wealth and consolidate all of their financial needs under one roof. Can you help them? mark for My Articles similar articles
Financial Advisor
September 2008
Frontline News News of interest to the financial services industry: M&A Talks Hit Many Roadblocks... Ameriprise Buys H&R Block's Advisor Business... Morningstar Buys Developer Of dbCAMS+... Securities America To Buy Brecek & Young... etc. mark for My Articles similar articles
Financial Planning
January 5, 2008
John J. Bowen Jr.
Better Than Average Making a New Year's resolution to improve your practice? A new survey lets you benchmark your performance against the broader advisory community. mark for My Articles similar articles
Registered Rep.
March 1, 2005
Grove & Prince
In Name Only Financial advisors who fancy themselves "wealth managers" are having trouble walking the talk. mark for My Articles similar articles