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Financial Advisor December 2008 David Lawrence	Sending A Message Employee manuals set rules for financial advisory firms that can save time and money.
Financial Advisor October 2007 David Lawrence	Workflow Revisited New software offers more than just a calendar and a to-do list. Junxure-I... ProTracker Advantage... KnowledgePoint... etc.
Investment Advisor June 1, 2011 Angie Herbers	Who's Responsible? Creating a culture that gives employees ownership of their jobs solves myriad problems.
Financial Advisor March 2007 David L. Lawrence	Managing Your Employees: A Holistic Approach Finding time to manage employees can be more than just a simple challenge for financial advisors. One solution is to take a systems approach, offering efficient management techniques within an environment that fosters individual employee growth.
Financial Advisor May 2012 Joni Youngwirth	Two Hats How can you manage your roles as business owner and financial advisor simultaneously?
Financial Planning September 1, 2006 Jane Worthington	Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.
Investment Advisor August 2009 Angela Herbers	Danger & Opportunity: Manual Labor This month's case study illustrates why comprehensively documenting a firm's practices and procedures is more than just a boring, nerdy waste of time: it's the key to building an efficient advisory practice.
Financial Planning November 1, 2007 Mederic Daigneault	Compliance Assessing risk: Begin by considering what services your financial advisory firm provides and to whom.
Registered Rep. June 1, 2008 Anne Field	Making Employees Count When your firm begins to grow, you have to hire more staff -- but that's not enough. You have to develop solid processes to help them work efficiently and effectively.
Financial Planning October 1, 2009 Nancy Lininger	What It Takes Compliance is top of mind at many firms today. Here's what makes a great compliance officer, no matter who takes the role.
Financial Advisor May 2004 David L. Lawrence	Tactical Efficiency Here are some basic steps to let you do more with less effort.
Investment Advisor January 2006 Dan Wheeler	Tools of the Trade: Five Building Blocks Financial advisors often ignore their own business practices and procedures for delivering a great client experience. As a result, they wind up disappointed with their level of success. To take care of business, follow these steps.
CRM July 10, 2015 Anna Convery	4 Steps to Using Automation to Transform Your Enterprise Leave decision making to humans, but automate (or eliminate) the processes that lead up to it.
Financial Advisor September 2011 David Lawrence	What Are You Doing? Ask yourself three key questions to find out how to improve your business.
Investment Advisor February 2010 Chester Wright	Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden.
Investment Advisor March 1, 2011 Angie Herbers	A Star is Made When advisors hire "stars," they expect them to "hit the ground running," but the best employees aren't hired; they are created in-house.
Financial Advisor July 2004 David L. Lawrence	Conquering The Paperwork Mountain Some cost-efficient ways for financial advisors to improve productivity---and avoid headaches.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Financial Advisor June 2005 David L. Lawrence	Finding And Keeping Great Employees Things to do---and to avoid---when it's time to grow your financial advisory staff.
Financial Advisor August 2006 Joel Bruckenstein	First Look At Advisors Office The developers have laid a solid foundation upon which additional functionality can be layered. If and when this occurs, Advisors Office will be an interesting proposition for an office of perhaps three to ten employees, provided the pricing is well aligned with the functionality being offered.
Investment Advisor January 1, 2011 Thomas D. Giachetti	Keeping Political Contributions Compliant A new rule on political contributions by investment advisors may make donations dangerous.
Investment Advisor July 2006 Thomas D. Giachetti, esq.	Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.
Financial Planning February 1, 2012 Stephanie Bogan	Breaking Through Barriers The first few months of a new year is an ideal time for a company founder to make sure the business is ready to climb to the next level of success.
Inc. August 2008	Steal This Manual? Commissioning an employee handbook can be expensive.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
Financial Planning September 1, 2007 Jane Worthington	Compliance Financial planners and advisors, advertise wisely. SEC examiners regularly find deficiencies in advertisements touting an advisor's performance returns. They recommend routinely using compliance procedures.
On Wall Street April 1, 2011 Alan J. Foxman	The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...
Investment Advisor October 2007 Melanie Waddell	Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Investment Advisor September 2010 Angela Herbers	The Fast Track: The Six Most Common Problems with Employees Owner advisors, read this column, then give it to your employees.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Financial Advisor July 2007 David Lawrence	Space Odyssey Eliminating aisles full of files may seem difficult, but you'll benefit greatly from using office space efficiently.
CRM April 1, 2006 Lior Arussy	Meet Expectations Before Trying to Exceed Them By trying to reduce costs, companies reduce the overall value they provide to customers and drop performance below customer expectations.
Financial Advisor January 2008 David Lawrence	Operational Leadership The first and most fundamental step for the owner/manager of a practice is to recognize that as the firm grows, he or she must change the way in which management of the firm is handled.
Financial Advisor February 2006 David L. Lawrence	Tracking Office Tasks Many financial advisory firms are turning to workflow systems to set up tasks, track progress and build accountabilities for task completion: Junxure-I... Act 4 Advisors... Microsoft Outlook 2003... Checklist... Microsoft Project... etc.
Financial Advisor September 2010 David Lawrence	The Need For Simplicity How to prepare reports efficiently while keeping them understandable for clients. First in a two-part article on retirement issues for advisors.
Investment Advisor April 1, 2011 Angie Herbers	Now Cultures and No Cultures There are really only two kinds of problem employees, and both can be turned into great employees
Financial Planning April 1, 2007 John J. Bowen	Policing Your Practice If you build an effective compliance system, your firm will be more appealing to both clients and buyers. Here's how to build a great compliance system.
Financial Advisor October 2011 David Lawrence	The Irony Of Micromanaging Micromanagers think they can perform most tasks better than experienced staff members, but in reality they stifle their firm's growth.
Inc. August 2008	How To: Assemble An Employee Handbook It's time to put your HR policies in writing.
Financial Planning October 1, 2010 James E. Warren Jr.	Beyond the Payout Eight critical points that every financial advisor contemplating a change of affiliation should consider.
Financial Advisor July 2008 Andrew Gluck	Process Can Make Your Firm Great Ironically, financial advisors -- planning professionals -- often fail to plan strategically for their own businesses. Creating business processes is key to running a successful financial advisory practice and making your firm great.
Financial Advisor January 2011 David Lawrence	Keeping Track Mind mapping and reminder systems can be powerful tools that help organize your thoughts on work that needs to be done.
Financial Advisor April 2007 David Lawrence	RIM Shot Service pricing is not the sole issue for today's financial advisors to deal with. There are several issues unique to Retirement Income Management practices that require attention.
Financial Advisor September 2008 David Lawrence	An Exercise In Belt Tightening For those advisors who are fee-only or fee-based, a decline in the markets can translate into a reduction in gross revenue for their firms. What can be done to stabilize net profitability in such an environment?
Investment Advisor January 2009 Joni Youngwirth	Now Is a Good Time to These are difficult times for clients and advisors alike, which means you should be taking some specific practice management actions in response.
Financial Planning January 1, 2012 Mark Tibergien	Moving Parts Once you have begun to look at the patterns unfolding in your advisory firm, it will be time to ask several critical questions.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
Inc. August 2008	Put Your Policies in Writing Five tips for putting your HR policies in writing.
Financial Advisor April 2010 Joni Youngwirth	Be Prepared What to consider when thinking of selling your practice.