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Registered Rep. September 27, 2012 Anne Field	Going Solo While there are many merits to having partners in the advisory business, for some being a lone practitioner is the only way to go. But it's crucial to set expectations -- and boundaries -- with clients.
Financial Advisor May 2012 Bill Bachrach	More Vacation Take more real vacations to be a better and more successful financial advisor.
Registered Rep. May 12, 2011 Matt Oechsli	7 Key Attributes of Top Assistants The increasing importance that the advisor-assistant relationship plays in the loyalty of today's affluent client prompted the Oechsli Institute to conduct a study on advisors and assistants. Here are the findings.
Registered Rep. September 1, 2006 Anne Field	Taking the Growth Plunge Even with the most sophisticated technology available, your financial advisory practice isn't going to grow significantly unless you start staffing up.
Registered Rep. May 1, 2006 Anne Field	Staying On Top of It While the market is reaching levels not seen in years, financial advisors have much to be wary about given the steady drumbeat of corporate scandals and complaints.
Registered Rep. July 1, 2004 Matt Oechsli	Vacation Nation Those who have built strong financial advisory practices are the most comfortable with taking real vacations --- those that don't feature regular phone calls to the office and marathon email-checking sessions.
Registered Rep. September 25, 2014 Anne Field	Listening In Getting honest feedback helps you fine-tune your practice, fix mistakes and keep clients engaged.
On Wall Street September 1, 2008 Donna Mitchell	Which Firms Leave Clients Most Satisfied? It's easy to call clients in good markets, but more important to call them when times are bad.
Registered Rep. February 29, 2012 Jerry Gleeson	It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products.
Financial Advisor April 2010 David J. Drucker	Deyfing The Odds Small practitioners thrive in spite of predictions they wouldn't.
AskMen.com Ross Bonander	How To: Make the Most of Your Vacation Some tips to avoid common days-off pitfalls.
BusinessWeek October 3, 2005 Ann Therese Palmer	"How to Take a Vacation" Jay Henderson of PricewaterhouseCoopers knows how important quality time off can be. So he offered employees some guidelines.
Investment Advisor July 2006 Lauren Barack	Contact Point CRM software makers are now combining clever programming with more robust software to offer advisors a more streamlined, smarter way to keep current clients happy and bring more clients into their financial family.
Registered Rep. February 13, 2012 Jerry Gleeson	Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead.
Registered Rep. July 22, 2010 Christina Mucciolo	Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms.
Investment Advisor September 2007 Angela Herbers	Time Out The biggest problem facing financial advisors today? Try burnout.
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. August 9, 2010 Susan Konig	How One BOM Retains Top FAs The dizzying industry turmoil of the last few years has induced wirehouses to offer their top producers some of the largest retention packages ever.
Fast Company August 2002 Christine Canabou	What I Learned on My Summer Vacation Summer vacations are a time for escape -- for a little R and R. They're also a time for learning and for generating fresh ideas. What's the best way to create a summer vacation that's eye-opening?
Investment Advisor August 2010 Dan Skiles	The Technology Coach: Advisors: What Is Your Mobile Technology Strategy? How can your advisory firm leverage mobile devices and smart phones to conduct business and better serve clients?
Financial Advisor May 2004 Raymond Fazzi	Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.
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.
Financial Advisor June 2008 Tracey Longo	Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner.
On Wall Street September 1, 2011 Lorie Konish	Pursuing Recovery and Profitability When volatility hit the markets in August following Standard & Poor's downgrade of U.S. debt, it left investors and their financial advisors scrambling. How ready are firms and advisors to apply the lessons learned in those dark days?
Registered Rep. November 14, 2011 Diana Britton	Raymond James Hopes New Training Program Will Appeal to Women Bob Patrick, director of education and development for Raymond James, said the industry has become more relationship- and planning-oriented, rather than product-oriented, and this model fits well with how women work.
Registered Rep. March 31, 2015 Megan Leonhardt	The Increasingly Happy Broker Generally speaking, the smaller the firm, the happier the broker, according to our fifth Independent Broker/Dealer Report Card survey.
Financial Planning November 1, 2008 Stacy Schultz	Key to Happiness The key to an advisor's happiness is support, at least for the independent advisor.
Registered Rep. February 14, 2012 Anne Field	The Art of Writing A Check When Jon Yankee and his two partners started their Reston, VA-based firm six years ago, they wanted to do it right. Among other things, that meant putting in place a clearly-thought-out compensation plan for both advisors and staff.
Financial Advisor November 2012 Joni Youngwirth	From Solo To Silo, From Ensemble To Enterprise Firms evolve for many reasons. What kind of firm is yours?
Registered Rep. October 20, 2011 Diana Britton	Raymond James Posts Flat Earnings, Record Advisor Productivity in Fiscal Q4 CEO Paul Reilly said the private client group had strong performance driven by record advisor productivity.
Financial Planning May 1, 2013 Suzanne McGee	Say Goodbye to Bad Clients For a variety of reasons, advisors sometimes need to cut ties with clients. Here s how to make a clean break.
Investment Advisor February 2010 Lewis Schiff	The Affluentialist: Trends in Client Communication The pressure for greater efficiency and convenience is propelling advisors to try new means of communication. Not surprisingly, most new channels appear with new technologies or updated applications of old techniques.
Financial Advisor March 2008 Joel Bruckenstein	Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.
On Wall Street June 1, 2013 Braswell & Konish	Leaders: Ranking the Top Wirehouses and Regional Broker-Dealers This year, the leading wirehouse and regional wealth management firms took the steps necessary to ensure they reap rewards as markets hit new highs.
Knowledge@Wharton	Vacationing in a Wireless World: Relaxation vs 4,000 Emails Not long ago, businessmen and women who took vacations could actually "get away from it all." Not so today...
Financial Advisor January 2011 Bill Bachrach	Why You Are Lucky This may be the perfect time to reflect on the financial advisory business and how to maximize your intrinsic value.
On Wall Street February 1, 2011 Lorie Konish	Will Advisors' Game Of Musical Chairs End Soon? The market crisis that began several years prompted a frantic game of musical chairs as firms and advisors sought their most competitive matches.
Registered Rep. November 9, 2009 Kristen French	BofA Pressures Merrill FAs To Sell Bank Products Some of Merrill Lynch's 15,000 financial advisors are feeling pressure to sell parent company Bank of America's checking and savings account products -- and they're not happy about it.
Registered Rep. September 30, 2015 Anne Field	Stumbling Towards a Team Back in 2000, when Todd Sanford launched his solo firm, Sanford Financial Services, he knew he wanted eventually turn it into a team-based practice.
Investment Advisor June 2007 Angela Herbers	Bidding War Here's how financial advisory practices can attract and retain high-quality professional talent, when they can't afford to pay the high competitive compensation of the big firms. The secret is that one needn't offer the biggest paycheck, just the best job.
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.
Registered Rep. July 14, 2009 Halah Touryalai	Financial Advisor Switching Firms Jumps in June June was a busy month for financial advisors on the move. The number of advisors switching firms jumped 45 percent in June versus May, according to Discovery Database.
Registered Rep. December 1, 2002 Matt Oechsli	Wealth Management Teams: On to the Next Level No individual, regardless of how smart or experienced, can effectively serve the multidimensional financial needs of the affluent himself. It takes a team.
Financial Advisor January 2006 Tracey Longo	Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee.
Financial Advisor March 2005 Katz & Evensky	Investment Performance Vs. Wealth Management A survey of high-net-worth clients and their advisors reveals a marked difference in perception between the two groups, particularly regarding value, advice and performance.
Financial Advisor November 2008 Gail Liberman	War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms.
On Wall Street March 19, 2013 Bill Willis	Recruiter's Tour of Raymond James Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James.
CFO July 15, 2010 Alix Stuart	CFOs on Vacation: Sand, Surf, and Cell Phones Breaking away for a vacation is hard to do when you hold the top spot.
Financial Advisor June 2005 Grove & Prince	Preserving Client Relationships In Down Markets What should financial advisors do when the stock market tanks? Communicate early and often to keep clients happy.