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Wall Street & Technology October 17, 2007 Penny Crosman	Schwab, Investment Managers Prepare for Retirement Boom Some of the 78 million baby boomers are about to retire -- how will financial advisers cope with the deluge?
Wall Street & Technology April 27, 2004 Jim Middlemiss	More than Managing Names and Numbers Successful CRM requires more than information. It requires tools to use that information effectively and add value to the customer relationship. Here is a look at what some financial services firms are doing.
Wall Street & Technology June 22, 2009 Melanie Rodier	The Urgency and High Price of New Cost Basis Reporting Law Even while many financial firms are unaware of new cost basis reporting requirements, the deadline for compliance is fast approaching -- and the cost to comply won't be cheap.
Wall Street & Technology August 27, 2004 Fran Denmark	United, We Stand A consolidated view of clients' holdings may be the Holy Grail of investment management, but is Wall Street ready?
Wall Street & Technology January 5, 2004 Jim Middlemiss	Bringing Risk Into the Mix Legg Mason is among a handful of firms revamping their wealth-management platforms to include risk management.
Bank Technology News February 2002 Karen Epper Hoffman	Planning for New Opportunities With a healthy boost from software and online delivery, financial planning services quickly may become the most hotly contested battleground for banks, brokerages and other companies to vie for consumers...
Financial Planning May 1, 2006 Barr & May	Service, Please! Aging baby boomers have new wealth -- and new advice needs. Is your financial planning business model flexible enough to keep you in the game?
Wall Street & Technology March 19, 2008 Penny Crosman	Raymond James Creates Complete View of Customer Data By linking together customer accounts of all kinds, firm gives brokers and customers a full view of customer relationships.
Financial Planning November 1, 2005 John Bowen	Small Steps, Big Results Financial advisers don't have to make sweeping changes in their businesses to alleviate some of their most pressing concerns, like: finding new wealthy clients... fighting for clients... growing assets... etc.
Registered Rep. September 2, 2010 Stevie D. Conlon	Looming Cost-Basis Crunch With less than six months to go, the brokerage community is under intense pressure to prepare for the new cost basis reporting law.
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.
Financial Planning December 1, 2005 Joel P. Bruckenstein	The Software You Need Now Trends sweeping the financial planning industry are driving new technology solutions in the year ahead. NaviPlan... Financial Profiles... Morningstar... Engagement Systems... BridgePortfolio...
Wall Street & Technology October 26, 2005 Anthony Guerra	A Slice of the Boomer Pie Financial firms are upping wealth management spending and examining enterprisewide solutions in hopes of luring mass-affluent clients.
Bank Systems & Technology May 6, 2004 Peggy Bresnick Kendler	Wealth Management Affluent investors typically overlook banks as a source for personal financial advice.
Wall Street & Technology March 19, 2007	Aite Recommends Improving Advisor Productivity in Wealth Management Market Aite Group recently released its evaluation of wealth management platforms and noted the importance of improving adviser productivity in an industry experiencing consolidation.
Bank Systems & Technology March 30, 2007 Nancy Feig	Mass Affluent Customers Seek Wealth Management Services Consumers with enough money for diversified investment products but not quite enough to warrant the attention of private bankers represent a new market and new opportunity for retail banks.
Wall Street & Technology August 15, 2007 Melanie Rodier	Albridge Releases Updated Wealth Management Solution Albridge Solutions expanded its Wealth Reporting portfolio accounting and performance reporting solution, which enables financial institutions and advisers to deliver a single view of all of their clients' assets.
Bank Systems & Technology December 23, 2007 Peggy Bresnick Kendler	Banks Eye Wealth Management Market As baby boomers transition into retirement, the market for wealth management services is more promising than ever.
U.S. Banker April 2010 John Hintze	A Wealth of Progress Bank of America aims to turbocharge cross-selling between its banking and wealth management units and move a step closer to building a true one-stop shop.
Financial Planning May 1, 2006 Bob Veres	False Fiduciaries The so-called resolution of the SEC's "Merrill Lynch rule" does nothing to keep brokers from providing financial advice without assuming legal responsibility.
Bank Technology News January 2007 Glen Fest	Wealth Management: A Turf War to Win the Rich Wealth platform functionality is forging a battle between brokers and banks.
BusinessWeek April 11, 2005 Toddi Gutner	Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second
Wall Street & Technology February 23, 2009 Mark Halverson	Retail Financial Services Firms Must Adapt to Changing Landscape With investors' trust shaken, firms need new approaches to working with wealth management clients.
Wall Street & Technology February 12, 2004 Ivy Schmerken	There's No Place Like Home Investors want to participate in decision making with their financial advisers. Collaborative tools could be the next hot trend.
Financial Planning January 1, 2006 Randy Bullard	The Next New Thing First there were Separately Managed Accounts, now Unified Managed Accounts. Could the next step be Household Managed Accounts?
Wall Street & Technology January 18, 2008 Cory Levine	Data Consolidation Can Help Financial Advisers Gain Client Trust With wealthy individuals employing the services of multiple financial advisers, becoming the most trusted adviser now requires a comprehensive picture of the client.
U.S. Banker November 2009 Steve Garmhausen	Fulton Financial's Recipe for Recovery The bank s sagging brokerage unit reversed its fortunes when it ditched the commissions and switched to a fee-based model. Then it brought in a rainmaker.
Financial Planning March 1, 2005 Paramjit Mahli	Adviser Pulse For financial planners to maintain and build strong relationships with ultra-high-net-worth investors, investment performance is crucial.
BusinessWeek August 30, 2004 Amy Borrus	Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line.
Registered Rep. September 14, 2011 Andrew J. Haigney	Opinion: FINRA's Land Grab Provisions of the Dodd-Frank Act are effectively forcing brokerage firms to convert their retail operations to the investment advisory model. But brokers need not worry, it looks like "the fix is in."
Financial Planning March 1, 2006 Myra Rothfeld	The Technology Lever Small shifts in the ways you use office technology can make big changes in your financial planning practice.
Financial Planning June 1, 2006 Elizabeth O'Brien	Dueling Platforms As the major custodians enhance their technology offerings for registered investment advisers, they're all seeking a competitive edge.
Financial Planning March 1, 2005 O'Toole & Steiny	The Perfect Process A disciplined approach to managing client assets is at the heart of financial planning. How does yours stack up?
Wall Street & Technology July 21, 2006	Raymond James Financial Looks to CRM, Income Processing and a Financial Planning Package CIO Tim Eitel directs the company with an eye on installing a corporation actions income processing system, a customer relationship management system and the rollout of Sungard's financial planning package.
Financial Planning July 1, 2005 James A. Barnash	Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners.
Wall Street & Technology August 22, 2007 Penny Crosman	Still Plenty of Job Opportunities in the Capital Markets In spite of trading floor automation, free online trading, and automated research tools, there are still plenty of job opportunities in the capital markets.
Financial Planning December 1, 2005 Beck & Tibergien	Is Your Price Right? A groundbreaking new study shows why it may be time for financial advisers to raise their fees.
Financial Planning August 1, 2005 Bob Hirschfeld	TD Ameritrade's Good Deal The merger of the two online broker-dealers will transform the new firm into a top contender.
Financial Planning February 1, 2006 John J. Bowen	One of a Kind As investment advice becomes a commodity, it's getting harder for financial planners to differentiate themselves. Here's how to do it.
Financial Planning September 1, 2005 Bryce Sanders	The Disgruntled Client How financial planners can know if they're about to lose a valued client relationship -- and what to do about it.
Wall Street & Technology May 28, 2008 Cory Levine	Client Relationships Are Key for Wealth Managers Aite Group study finds that subject matter expertise and listening skills are most important to clients in building a strong financial planning relationship.
Wall Street & Technology January 5, 2005 Maria Santos	The Alternative Fix As financial-services firms face an increasingly competitive market, more and more institutions are offering non-traditional investments like hedge funds, commodities and futures to satisfy the wishes of their investment-savvy clients.
Financial Planning June 1, 2006	FP50: On the Cutting Edge Four broker-dealers have found success by creating their own unique business models.
Financial Planning December 1, 2005 Peter Cieszko	SMAs' Real Appeal You may think it's about management -- but a new survey shows that clients like the way SMAs get them close to their advisers.
Financial Planning November 1, 2005 Marion Asnes	Advisers Speak Out Our new nationwide poll shows that for all financial advisors know about asset allocation, they're still having trouble making it work.
The Motley Fool December 11, 2007 Selena Maranjian	Brokerages and Your Cost Basis Does your brokerage track your cost basis for you? Should it?
U.S. Banker August 2010 John Hintze	A Taxing New Twist Investors have long been responsible for determining the tax consequences of their securities trades, but starting next year it will be up to their account custodians -- and, indirectly, their financial advisers -- to keep them honest.
Financial Planning August 1, 2006 Joel Bruckenstein	An Explosion of Enhancements Financial advisers have lacked adequate tools to help clients get the story on retirement distribution planning. But now, a number of software providers have developed enhancements for existing programs that are targeted squarely at this burgeoning market.
Wall Street & Technology March 26, 2004 Jessica Pallay	If You Build It, Will They Come? As wealth managers battle for assets, CIOs are increasingly turning to outside vendors to build best-of-breed technology solutions.
Financial Planning July 1, 2006 Marshall Eckblad	Chalk One Up for RIAs According to a recent survey, a majority of investors believe stockbrokers and investment advisers owe the same fiduciary responsibilities to their clients.