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Registered Rep. January 5, 2011 Mindy Diamond	Lining Up Your Pros And Cons The following is a list of some of the pain points advisors who want to leave their firm often describe.
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. November 27, 2015 Mindy Diamond	(Emotionally) Free Agents The notes attached to many retention packages -- offered in the wake of the 2009 financial crisis to more than 5,000 advisors at the wirehouse firms -- are set to expire in early 2016.
Registered Rep. October 1, 2005 Mindy Diamond	What Size Pond? It is important for advisors to find a firm that is a good fit for their particular goals. In many cases, small firms work well. For advisors looking to expand their books aggressively, larger firms are often -- but not always -- a good option.
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?
Registered Rep. July 7, 2015 Mindy Diamond	Move Once, Monetize Twice The notion of changing firms late in your career brings up many questions, not just related to the advisor's own financial future, but also to your clients and legacy.
Registered Rep. May 14, 2013 Mindy Diamond	The Economics of Choice In many cases, the economics of the independent model can be exponentially better than those being touted by the wirehouses today.
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 2010 Angela Herbers	From Senior to Partner A description of a smooth transition from senior advisor to partner.
Registered Rep. November 18, 2014 Mindy Diamond	Considering a Move? Conduct a Gap Analysis First Changing firms or starting an independent wealth management practice is not easy and is something that must only be done after much introspection and investigation.
Registered Rep. October 1, 2006 Mindy Diamond	The Devil You Know, The Devil You Don't Know Changing firms is never an easy undertaking. It requires serious research and due diligence. Here are stories about brokers who switched firms, and some tips on how they could have done it right.
On Wall Street September 1, 2011 Nick Georgis	Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.
Registered Rep. November 5, 2012 Scott Smith	Look Before You Leap The very benefits IBDs have used to lure advisors may actually be their undoing.
Investment Advisor July 2010 Ray Sclafani	The High-Performance Coach: The Five Myths of Professional Networks Why you need professional advocates.
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?
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.
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.
Financial Planning June 1, 2013 Matt Ackermann	United Capital's Joe Duran: Imitating Starbucks The CEO of United Capital plans a nationwide network of planners with a consistent look and feel.
Financial Planning March 1, 2011 Roger Verboon	Succession Planning: Moving on Advisors excel at helping clients plan for the different stages of their lives. But when it comes to planning for stages of their own business lives-particularly the last one-many fail to take their own advice.
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.
Registered Rep. March 22, 2013 Mindy Diamond	Of Myths and Moving: Part IV When it comes to preconceived notions about the wirehouse world and independence, many advisors have it all wrong. Here are the five most common myths advisors have today.
Investment Advisor April 2010 Ray Sclafani	Demystifying Referrals To build a client acquisition system, break the process down into nuggets.
Investment Advisor May 2009 Kelli Cruz	Walk On The trend of wirehouse advisors joining the independent RIA channel has ramped up significantly in the last several years, and is only increasing in the wake of Wall Street's epic meltdown.
Registered Rep. September 17, 2010 Mindy Diamond	Five Reasons You Won't Get Hired While hiring managers are still primarily interested in a financial advisor's production and client assets, gone are the days when firms look solely at these criteria.
Financial Advisor July 2012	It's A Trust Thing People trust their financial advisor more than their primary doctor, according to a recent survey of investors by John Hancock Financial.
Financial Planning September 1, 2008 John J Bowen Jr	Time to Say Goodbye Today's most successful advisors recognize a simple but powerful fact of business: It's better to work with a small number of great clients than to serve a huge base of clients who are only mediocre.
Financial Advisor August 2006 Hannah Shaw Grove	Life Insurance And Wealth Management Helping client with life insurance is an important service of effective wealth managers.
Investment Advisor September 2008 Steve Moore	Less Is More To become a wealth manager, you may want to start with fewer clients.
Registered Rep. August 1, 2005 Mindy Diamond	Comparison Shopping Here are several categories of information that can help guide a job seeker's evaluation of financial advisory firms.
Registered Rep. October 24, 2013 Mindy Diamond	When Good Advisors Get Fired Sometimes you have to start over in order to have a happy ending, and that can be especially true in this industry.
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.
Financial Planning March 1, 2008 Stacy Schultz	5 Questions with Melaine Kimmel Five questions about Kaplan Financial, which provides education and compliance solutions for financial professionals, advisors, agents, registered reps, and their supervisors.
AskMen.com December 9, 2001 Rashmikant Patel	Trusting Your Advisor Many of us are looking back at our investments over the last couple of years, and blaming our advisors for the less than stellar performance. It all comes down to one issue: do you trust your financial advisor?
Financial Planning June 1, 2007 Kathy Gevlin	Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction.
Investment Advisor June 2008 Jonathan Henschen	Transfer Time For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time for a reality check.
Registered Rep. November 13, 2015 Ryan W. Neal	Despite Volatility, Advisor Confidence High The market volatility in the third quarter wasn't enough to shake advisor optimism.
Registered Rep. April 7, 2011 Kristen French	Switching To Independent Model Keeps Up Pace Migration to the independent financial advisor model -- independent b/ds and RIAs -- is likely to continue unabated in 2011.
Financial Planning May 1, 2008 Stacy Schultz	Client Loyalty The most common reason affluent investors leave their financial advisors is because their advisor does not answer their calls, according to a new report.
Financial Advisor March 2012 Joni Youngwirth	When To Prune One can find good reasons to cut clients and good reasons not to. Advisors who do are typically happy they took action.
On Wall Street July 1, 2010 Frances A. McMorris	Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate.
Registered Rep. July 12, 2010 Christina Mucciolo	The Rise of the Super OSJ It's a great time to be a Super OSJ -- the extra large offices of supervisory jurisdiction, or independent b/d branches that both supervise and provide consulting and business services to other independent advisors for a fee.
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.
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.
The Motley Fool November 7, 2006 Dan Caplinger	When Your Advisor Quits Facing the retirement of a trusted financial advisor can be traumatic. By remaining objective and cautious during your transition to a new advisor, you can take steps to ensure that you will continue to receive the good advice you've come to expect.
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.
Registered Rep. December 13, 2011 Charles Paikert	What Advisors Should Know About the Small Business Owner Market The good news: 50 percent of small business owners could use an advisor, and the best prospects, according to the survey, are women, younger owners, and owners who are thinking about retiring.
The Motley Fool October 30, 2006 Dan Caplinger	Avoid the Boiler Room Some financial advisors know more about sales than they do about investing. Finding good financial advice is tough. Investors with little or no knowledge about their finances are extremely vulnerable to disreputable professionals.
Financial Planning October 1, 2012 John J. Bowen, Jr.	Elite Advisors' Best Practices: What Makes for a Successful Planner How do the best financial planners become successful? Developing a vision and a plan for your business takes focus, collaboration and consistency. And it s how the best performers enhance their success.
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.
Registered Rep. July 1, 2006 Kristen French	Trading Up The Wealth Advisor Institute, a new trade group for advisors who cater to the wealthy, opened its doors in June.