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Financial Planning May 1, 2012 Glenn G. Kautt	Transitions A few years ago I surveyed nearly 1,500 business owners about succession planning. One quarter - working as individuals and billion-dollar revenue firms - told me their succession plan was to die at their desks! Does this sound familiar?
Investment Advisor September 2009 Angela Herbers	The Fast Track: All The King's Men Creating the right jobs for the right people
Financial Planning September 1, 2007 Glenn G. Kautt	Helping the Handoff Survey results show that business owners are in need of help when it comes to transition planning. There are four phases in the transition of a business where advisors can help their clients.
Investment Advisor August 2010 Melanie Waddell	Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.
Registered Rep. May 14, 2015 Megan Leonhardt	LPL Incentivizes Hybrid RIAs to Bring Assets Over LPL Financial is offering its hybrid advisors up to $100,000 to shift their assets held elsewhere to LPL's advisory platforms, according to an internal communication sent to advisors Wednesday.
Registered Rep. October 8, 2015 Megan Leonhardt	Breakaway Advisors Moving More to Existing RIAs More advisors are looking to leave the wirehouses and brokerages by joining an existing registered investment advisory firm, rather than starting their own.
Investment Advisor March 2006 Mark Tibergien	Formulas for Success: Preparing for the Fall Are you succeeding at succession? This question increasingly comes up as advisors see each month flip away, and each year change a digit. In the autumn of your career, are you prepared for the inevitable?
Investment Advisor January 2009 Angela Herbers	First Aid Kit The vast majority of advisor practices aren't well positioned to withstand these challenging markets.
Wall Street & Technology June 19, 2008 Cory Levine	Transition Managers Become Increasingly Popular As the markets grow increasingly complex and risk-aware, the primary focus of transition management has shifted from operations to risk management, and the preservation of the value of clients' assets is the most important aspect of a transition.
Registered Rep. September 30, 2009 David A. Geracioti	Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled.
Investment Advisor June 2010 Angela Herbers	From Senior to Partner A description of a smooth transition from senior advisor to partner.
Wall Street & Technology January 9, 2006 Cory Levine	Fontana to Head Fixed Income at ITG Investment Technology Group (ITG) added fixed-income capabilities to its transition services, hiring Victor Fontana to head the new unit.
Financial Planning January 5, 2008 Mark Penske	Land of Uncertainty Although it can seem like an impossible task to find the right successor for your financial advisory business, stories and experiences from those who have crossed this line confirm that there is life after the big decision, both short and long term.
Registered Rep. October 28, 2015	Cetera Financial: A 90-by-90 Approach to Transition Cetera Financial built their 90-in-90 Plan to help advisors who are transitioning to another firm, overcome anxiety by laying out a defined, detailed and complete process.
On Wall Street March 1, 2013 Lorie Konish	Editor's Letter: New Client Rewards A run-down of the stories in this issue, including the annual pay scale review, an interview with Neil Barofsky on the financial crisis, and a look inside HighTower Advisors.
Wall Street & Technology May 31, 2007 Melanie Rodier	Northern Names Geographic-Specific Transition Management Leadership Aiming to more effectively serve client's geographic-specific needs, Northern Trust Global Investments appointed Grant Johnsey head of transition management, North America, and Simon Hutchinson head of transition management, international.
Information Today May 29, 2014	EBSCO Database Offers Resources for Military Members EBSCO Information Services' new Military Transition Support Center is a resource that families and members of the military can use during their transition to civilian life.
Wall Street & Technology January 24, 2006 Cory Levine	Temple Joins Bank of New York As part of its business expansion, Bank of New York hired Ken Temple as senior vice president of the BNY Global Transition Management unit.
Registered Rep. February 12, 2003 Ross Tucker	Slow Growth in Fee-Based Business Relatively few brokers are increasing their commitment to fee-based advisory practices, a new report indicates.
Investment Advisor September 2009 Philip Palaveev	Tortoise or Hare Which business model is most acceptable to investors? And which to advisors?
CIO April 27, 2009 Karl A. Hochkammer	Plan an Outsourcing Deal's End at Its Beginning Plan ahead to ensure a successful exit for you and the vendor.
Registered Rep. February 28, 2013 Mindy Diamond	You Have Chosen... Wisely These days, advisors have more choices than ever when it comes to business models, making the decision that much more difficult. Which one best suits you?
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.
On Wall Street June 1, 2011 Carri Degenhardt-Burke	Packing Up, Moving On If you are moving to a new firm be prepared and plan, plan, plan!
Financial Planning July 1, 2010 Stephanie Bogan	Building Value It seems clear that anticipated growth from baby boomers, an aging advisor population, and increasing interest in mergers and acquisitions will likely make building and realizing value the defining practice managment issue of the next decade.
Registered Rep. September 27, 2002 David A. Gaffen	Bear Market Crushing Transaction Brokers Top advisors have been making the transition to the fee-based, "wealth management" style of advisory. But surveys have shown that many brokers remained resistant to the fee-based concept.
Financial Advisor April 2009 David Lawrence	Migratory Patterns Advisors who want to move to the independent world should spend a lot of time planning the transition.
Investment Advisor June 1, 2011 Thomas D. Giachetti	From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors.
Financial Planning June 1, 2010 Bob Veres	Wheel of Competence When looking to transition to retirement, advisors should reach for the skills they have accumulated over time-for working with both clients and staff.
Investment Advisor April 2009 Angela Herbers	The Fast Track: When Bad Things Happen to Good Advisors If the current recession has a silver lining, it's that the advisory industry will be forced to take the next step in its evolution.
Investment Advisor July 2009 Moseley & Spencer	Tech Evangelist At multistate wealth management firm LarsonAllen, an increased workload and limited staffing resources made it imperative that those advisors who weren't using the firm's automated rebalancing technology get on board.
Investment Advisor January 2006 Maya Ivanova	Listen Up Financial advisory firms are demonstrating their ability to weather the tough times of the last few years. But to continue their profitability in the future, they need to make client service a priority.
Financial Planning April 1, 2012 John J. Bowen, Jr.	The Off Ramp Unless modern medicine discovers the secret to immortality, all of us will one day leave our business behind. That means we have to ask ourselves how we want to exit, and start making the appropriate plans to transition on our terms.
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.
Investment Advisor June 2010 Angela Herbers	The Fast Track: American Standard Comp tables based on surveys of advisory firms won't help you find the right salary range for your firm if those firms are over- or underpaying.
Financial Planning September 1, 2006 Stephanie Bogan	The Boss Can't Let Go Why your senior advisor is dragging his feet about turning over the reins of the financial advisory firm -- and what you can do about it.
Investment Advisor February 2009 Angela Herbers	Advisor, Heal Thyself Good advice to advisors these days is that they revise their own financial plans.
On Wall Street April 1, 2013 Todd Colbeck	The Grand Slam Referral System Keep new leads coming in by branding yourself as a transition specialist.
Investment Advisor September 2007 Kara P. Stapleton	FINRA Interim Board The newly combined NASD-NYSE regulatory agency, announced the appointment of a 23-member Interim Board of Governors.
PC Magazine November 30, 2005 Sebastian Rupley	Switching to Digital TV The national transition to digital television may be upon us.
Fast Company February 1, 2007 Kathryn Tuggle	Flying Cars Sitting in Samuel Schweighart's garage in Watertown, Massachusetts, is the stuff of science fiction -- and soon reality.
Wall Street & Technology September 18, 2006	The Golden Years A large portion of financial services CIOs are thinking of making the transition into retirement gradually, according to a survey.
Home Theater March 19, 2009	FCC Tweaks DTV Transition Scenario The Federal Communications Commission is using what it learned in February to set down rules for the remainder of the stations that complete the transition in June.
Financial Planning December 1, 2007 Kevin Barr	Integration Ardor With careful analysis and discipline, financial advisors can take advantage of a host of technologies to make their businesses run more smoothly. And until that silver bullet appears, caveat emptor.
Investment Advisor November 2009 Angela Herbers	The Fast Track: The M Word Cometh Older and younger advisors both have a new appreciation for marketing.
Investment Advisor December 2007 Angela Herbers	Bottom Up Broker/dealer recruiting is largely a zero sum game. Here is why it more advantageous for B/Ds to help their existing advisors.
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.
Investment Advisor October 2007 Mark Tibergien	Exit, Stage Left There comes that awful realization in every advisor's life when he finds himself in the netherworld between wisdom and obsolescence. As the leader of the business, how do you know when it's time to step aside?
Home Theater September 18, 2007 Mark Fleischmann	Satellite Problems Loom in DTV Transition Until now concerns over the transition to digital television, scheduled for 2009, have centered on broadcast-dependent viewers. But satellite viewers may be in for trouble too.
Investment Advisor July 2010 Olivia Mellan	Olivia's Advice on Succession Planning Creating a succession plan now will create greater serenity and security for yourself, your family, your employees, and your clients.