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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.
Financial Planning May 1, 2011 Karen C. Altfest	Presumed Guilty Even if we think we've been successful for a long time, we never can stop presenting our credentials and accomplishments, and demonstrating our stability to those who are new. As you sit in prison, Bernie Madoff, thanks for the reminder.
Registered Rep. April 23, 2015 Anne Field	How Long Should You Take to Land a Prospect? Most advisors have a process for bringing in potential new accounts -- a certain number of meetings, a series of topics to cover -- but many find the trickiest part of the chain is the final close.
Registered Rep. December 25, 2012 Lauren Barack	Playing The Digital Dating Game A client's onboarding experience can affect how wiling they are to make referrals, and the faster a rep can sign one client, the quicker they can find more. New digital onboarding tools can help.
Financial Planning September 1, 2012 William Ainson	13 Steps to Avoid Fumbling Your First Meeting With A Prospect Whether you are relatively new to the planning business or have been in the profession for decades, odds are you have lost potential clients as a result of mistakes made at a first meeting.
Financial Advisor January 2005 Steve Sanduski	Getting To The Heart Of The Matter Here's how to connect with your prospective financial advisory clients.
Registered Rep. March 8, 2012 Boswell & Nichols	The 3-Step Process for Closing New Prospects Many advisors put a great deal of thought into how they'll find affluent prospects, but less on how they'll convert these prospects in to clients.
Financial Planning July 1, 2011 John J. Bowen, Jr.	Consultation, Not Just Advice Financial advisors offer advice, of course, but they'd be much better off if they thought of themselves as consultants.
Investment Advisor April 2008 James J. Green	Deep Bench To offer wealth management services efficiently, you need strong performers in your corner.
Investment Advisor March 2008 Lewis Schiff	The Prospect Said What? When working with high-net-worth clients, you may need to dig and sift for the information you need; for many affluent and ultra-affluent clients, the initial impulse is to speak guardedly to protect their privacy.
Financial Advisor November 2003 Leo Pusateri	Advanced Applications For The Value Ladder Use key questions directed at potential clients to connect back to your unique message.
Registered Rep. October 17, 2011 Timothy D. Welsh	Practice Tips for Great Client Relationships Advice on acquiring new clients in an efficient, cost-effective way.
Financial Planning December 1, 2012 John J. Bowen, Jr.	Making Introductions Happen: Request and Receive Referrals From Existing Clients Use this 9-step process to request (and receive) referrals from your existing clients.
Registered Rep. September 29, 2011 Anne Field	Romancing New Clients John Vance was looking for ways to boost revenues at Vance Wealth Group. Vance realized one area was particularly important: his process for handling new clients -- specifically, the first three months or so of the relationship.
Financial Advisor June 2005 Leo J. Pusateri	Addressing Value Challenges How well you handle a value challenge will, in many cases, determine whether you earn the right to manage an individual's wealth. Here's how to respectfully address these challenges with confidence, while always restating your value.
Financial Planning April 1, 2008 John J Bowen	Referrals for the Asking The majority of advisors are ignoring one of the most effective, efficient and obvious sources for new referrals: their existing clients.
Entrepreneur August 2006 Asheesh Advani	Friends With Money Looking to raise capital for your new business? Start by approaching the people who know you best.
Registered Rep. November 1, 2004 Steve Gresham	Party's Over The most tragic investing calamities are repeated by clients who should know better and by advisors who did know better and let the clients get in trouble anyway.
Registered Rep. May 19, 2010 Anne Field	The Art Of The Referral Everyone wants to win new business through referrals from clients and other associates. And why not? It's considerably more efficient than, say, running seminars or dialing for dollars and it produces infinitely "warmer" prospects.
Registered Rep. October 12, 2011 Boswell & Nichols	You Seem Pretty New at This... There are a few areas that new advisors can control to help deemphasize their youth and inexperience.
Registered Rep. July 1, 2005 Anne Field	A Coach's-Eye View For a financial advisor, hiring a coach is not an easy decision. It means opening up to an outsider and questioning basic assumptions. And coaching does not come cheap.
Financial Advisor May 2004 Leo Pusateri	Are You Ready To Deliver Your Value? Integrating passion, respect and confidence into interactions with wealth management clients.
Registered Rep. December 19, 2014 Anne Field	Job Hoppers According to Cerulli Associates, 89 percent of financial advisors came to the profession after working somewhere else.
Investment Advisor April 2009 Mike Patton	Values Advisor The sixth in a series of first-person articles in which the author chronicles his own road to independence from employee advisor to fully independent RIA.
Registered Rep. February 9, 2011 Diana Britton	IMCA Helps Financial Advisors Pick Up Women Three out of four wealthy women are looking or thinking of looking for a better financial advisor.
Financial Planning July 1, 2008 Dan Veto	Open Up! How do you demonstrate to your new prospects the financial services equivalent of good bedside manner? One way is to recognize that clients have differences and preferences in how they would like you to conduct your professional interactions.
Financial Advisor April 2007 William Glasgall	Why Marketing Works Over the years, many advisors, being analytical people at heart, have relegated marketing to a minor role behind crunching numbers for clients' financial plans and investment portfolios. Now, that attitude seems to be undergoing a long-needed change.
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.
Financial Advisor April 2005 Leo J. Pusateri	Responding To Value Challenges How well a financial advisor handles a value challenge will, in many cases, determine whether he or she earns the right to manage a client's or prospect's wealth.
Registered Rep. September 25, 2014 Anne Field	Listening In Getting honest feedback helps you fine-tune your practice, fix mistakes and keep clients engaged.
Registered Rep. August 18, 2011 Matt Oechsli	Capitalizing on Crisis Four steps to get a handle on your practice and capitalize on this crisis.
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.
Registered Rep. December 16, 2013 Mindy Diamond	Coming Together One way for advisors to be prepared in the event of something going wrong is to team with other advisors.
Financial Advisor February 2004 Grove & Prince	Learning More About Clients With the Whole Client Model How to find out what you need to know about a financial planning client.
Financial Planning August 1, 2008 Chris Radford	Choices in Bad Times While a recessionary market is a trying time for any advisor, it's also a great opportunity to preserve your current clients and grow your business.
Investment Advisor August 2006 Susan L. Hirshman	The Wealth Advisor: Lessons From the Best With a targeted client plan consisting of an integrated approach for client segmentation, actively pursuing referrals, and furthering meaningful client contact, financial advisors will be on their way to meeting their clients' financial needs.
Financial Advisor October 2010 Michael Patrick Jacobs	Investors Demand More This advisor provides highlights of what he's found clients today are looking for when they seek advice.
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.
Investment Advisor October 2006 Black & Bakker	Life Support A reader survey suggests how asset managers can be true partners with investment advisors.
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.
Registered Rep. February 1, 2003 Steve Gresham	Are Managed Accounts Right for You? It's nearly impossible to ignore the rallying call for managed accounts. 90% of advisors netting $300,000 or more annually collect some fee revenue, and more than half of them garner at least 25 percent from fees, according to a 2000 survey. Is it time for you to get on board?
Registered Rep. August 10, 2011 Boswell & Nichols	Shaky Markets, Substantial Opportunities With memories of 2008 looming in the background, the Dow plunging in response to a AAA downgrade and media pundits fueling fear and uncertainty everywhere you turn, it's natural for investors and advisors to become a bit nervy.
Investment Advisor February 2009 Angela Herbers	Advisor, Heal Thyself Good advice to advisors these days is that they revise their own financial plans.
Registered Rep. August 4, 2010 Anne Field	Listen To Your Clients You need to make sure you have your finger on your clients' pulse and an up-to-the-minute understanding of what they like -- and dislike -- about what you do. It's particularly important in the current climate of disillusionment, when clients are switching advisors right and left.
Registered Rep. March 1, 2006 Anne Field	Prodigious Heirs How can you make the most of inherited clients? Try the "drip" method. It's about persistently paying attention to all the details, like checking to see if all the account information is up to date and accurate.
On Wall Street July 1, 2009 Doug Dannemiller	Advisors Face Competition from Do-it-Yourselfers Advisors face growing competition from web-based retirement planning services catering to the do-it-yourself instincts of the baby boomers.
Financial Planning November 1, 2010 Joni Youngwirth	Calling All Advisors Over the past five years, advisors recruiting advisors has become an increasingly hot topic. Why?
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 June 2008 Mike Patton	Lessons Learned As the road smooths after a year of independence, a registered independent advisor shares his insights.
Registered Rep. April 1, 2014 Mindy Diamond	Culture: Hard to Define, Impossible to Ignore Advisors looking to compare and contrast their own firm to others, often see all similarly situated firms as one and the same. A firm's culture is the one thing that is not a commodity.