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Financial Planning February 1, 2006 Bob Veres	Hitting The Wall The phenomenal growth rates in the financial planning profession are proof that the public is waking up to its need for the services of a good planner.
Financial Advisor March 2008 David J. Drucker	Blueprint For Success Nowadays, an energetic financial planner can get up and running in three to five years. The industry has simply built a body of knowledge around starting an independent advisory firm and, independent planners have disseminated that knowledge freely.
Financial Planning April 1, 2007 Bob Veres	Sustaining Software The financial planning profession offers a less-than-ideal marketplace for software vendors. Here's how we can support these practice-management allies.
Financial Planning May 1, 2010 Bob Veres	A Profession Comes Of Age As the planning profession reaches maturity, motive and opportunity seem to be conspiring to create a better professional world.
Financial Advisor September 2004 Tracey Longo	7 Sins Of Bad Business Planning Correcting these bad business practices might make your financial firm seem like heaven.
Financial Planning January 1, 2006	2006 Movers & Shakers These eight professionals are shaping the future of the financial planning industry: Jim Barnash... Michael Kitces... Richard Lee Jr... Kyra Morris... Lou Stanasolovich... etc.
Financial Planning January 1, 2006 Marie Swift	Newsletter News An informal survey of financial advisers shows that offering a good newsletter is a critical marketing tool.
Financial Advisor December 2006 Jeff Schlegel	The Next Wave There is a quiet movement going on within the financial advisory industry: Young financial advisors imbued with a missionary-like zeal to spread the fee-only message are striking out on their own at a much earlier age than the prior generation.
Financial Planning February 1, 2006 Ed McCarthy	Adding On Clients are clamoring for additional services, and some financial advisers are eager to please. But look before you leap into new lines of business.
Financial Advisor September 2007 Joel Bruckenstein	File Trials Today's regulatory, legal and security environments demand a more robust document management solution and financial advisors who downplay these issues may find themselves doing so at their own risk.
Financial Advisor December 2009 David Lawrence	Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice.
Financial Planning May 1, 2005 Ed McCarthy	Making the Switch As advisers shift from a commission-based model to a fee-based one, how are their practices handling the change?
Financial Planning September 1, 2009 Bob Veres	Outsourcing Change One of the things you inevitably discover about many highly successful financial advisors is their long-standing habit of working with a coach.
Financial Planning January 1, 2005	Movers & Shakers 2005 Who is showing the way in the financial planning profession? Here are nine leaders, as determined by votes from readers, judges, and editors of Financial Planning. Guy Cumbie... Roy Diliberto... Elizabeth Jetton... etc.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Registered Rep. December 5, 2011 Anne Field	How to Bust Out to a Fee-Only Model In the two years since he's joined Moneta Group, Pat Howley has moved his business from 60 percent commission to 90 percent fees.
Financial Planning December 1, 2005 Bob Veres	The Fulfillment Plan As definitions of retirement and financial planning change, so does the value proposition financial advisers offer.
Financial Advisor February 2006 Bruce W. Fraser	Outsourcing: Does It Help? As financial planning becomes more comprehensive and demands from clients grow, more financial advisors are creating virtual office practices by outsourcing tasks they used to do themselves.
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.
Financial Advisor October 2010 Mary Rowland	Quietly Contrary Some advisors find success by scorning conventional wisdom about size, growth and clientele.
Financial Planning February 1, 2005 Brent Hicks	Practice Tips A virtual office doesn't have an actual, physical location. Here are three important practical considerations when setting up a virtual financial advisory office.
Financial Planning November 1, 2006 Bob Veres	Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term.
Financial Planning December 1, 2007 Joel P. Bruckenstein	2007 Software Survey For financial planners: What you're using, what you're not -- and how the right programs can improve your efficiency.
Financial Advisor October 2007 Mary Rowland	It's A Start Insurance companies are beginning to give fee-only advisors, and their clients, the kind of lower-cost policies they've long sought.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
Financial Planning December 1, 2005 David J. Drucker	Dazed and Confused Most financial advisers remain uncertain about exactly how to comply with SEC e-mail retention rules. RIAs need to make decisions about what to retain, how, and how to protect it. And there's little consensus on what to do.
Financial Planning January 5, 2008 Glenn G. Kautt	Are You Certifiable? As regulators turn up the heat on the planning profession, can you meet the highest fiduciary standards available today?
Financial Planning June 1, 2008 Bob Veres	The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners.
Investment Advisor October 2007 Angela Herbers	Beyond E-Myth When starting an advisory practice, go beyond Michael Gerber's business plan from his book E-Myth. Think of the new practice as a pyramid, and work your way up from the base, to the top.
Financial Planning December 1, 2005 Beck & Tibergien	Is Your Price Right? A groundbreaking new study shows why it may be time for financial advisers to raise their fees.
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.
Registered Rep. February 1, 2006 Kristen French	Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.
Financial Planning August 1, 2008 Elizabeth O'Brien	Joining the Fray Those who can, do, the saying goes. Three Moss Adams consultants embraced this sentiment over the past year, leaving their prestigious perches at the Seattle-based firm to practice what they preached.
Registered Rep. April 1, 2008 Christina Mucciolo	The Eclipse of Paper The process of scanning documents and storing them using document-management software has finally taken hold of the mainstream in the brokerage industry.
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 Planning May 1, 2006 Bob Veres	False Fiduciaries The so-called resolution of the SEC's "Merrill Lynch rule" does nothing to keep brokers from providing financial advice without assuming legal responsibility.
Investment Advisor January 2009 James J. Green	What to Do Now? When you're in the middle of a crisis, by definition it's difficult to plan ahead to avoid the next crisis, but that's exactly what the smart, growing, most profitable advisors tend to do.
Financial Planning November 1, 2005 John Bowen	Small Steps, Big Results Financial advisers don't have to make sweeping changes in their businesses to alleviate some of their most pressing concerns, like: finding new wealthy clients... fighting for clients... growing assets... etc.
Financial Planning April 1, 2008 Bob Veres	The Myths of Our Age These days, the planning profession seems to be caught in a web of myths and half-truths, which make it difficult for us to talk about a lot of issues. Here are some common myths regarding the financial planning industry.
Financial Advisor February 2007 Mary Rowland	Resolutions For 2007 Ideas for 2007 that you may have neglected to put on your list: Bringing balance to your life... Becoming a better financial planner and a better person... etc.
Registered Rep. March 16, 2012 Kristen French	Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like.
Financial Planning March 1, 2006 Myra Rothfeld	The Technology Lever Small shifts in the ways you use office technology can make big changes in your financial planning practice.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
Financial Planning April 1, 2010 Donald B. Trone	Step One: Analyze Regardless of when a fiduciary standard is implemented and whichever group is assigned to monitor it, one thing is certain: You will need to build an investment management process that meets a higher standard of care.
Financial Planning August 1, 2011 Deena Katz	Summer Repair Project Here are 10 steps to give you a practice management jump-start into the fall.
Financial Planning July 1, 2010 Marie Swift	What Have You Done For Me Lately? Do your clients understand the true value of what you do? Your best defense may be to make sure that you're articulating the value of the various services you perform.
Financial Planning March 1, 2005 Katherine Vessenes	Million-Dollar Method Ready for the big time? This quiz will show how you match up with your financial advisory peers.
Financial Planning September 1, 2005 Donald Jay Korn	The Evolving Practice Financial planning covers so many different strokes these days, for so many different types of folks, that it's difficult to generalize about the evolution of practice management.
Financial Planning March 1, 2013 Scott Wenger	Editor's Note: Advisor Forecast 2023 A huge expansion of wealth, new technological leaps, greater life expectancy. Planning could be really difficult.
Financial Planning June 1, 2006	FP50: On the Cutting Edge Four broker-dealers have found success by creating their own unique business models.