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Financial Advisor September 2004 David L. Lawrence	Finding Profit In Written Policies And Procedures The exercise of writing the procedures for a financial practice can reveal ways to trim the process, refine your workflow systems and make things work better in a practice. Freeing up time and that of employee(s) can save money.
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 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.
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.
Investment Advisor July 1, 2011 Angie Herbers	The Road to Happiness There are four elements to make clients happy -- and advisory firms successful.
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.
Financial Advisor December 2006 David L. Lawrence	Merging Traffic Merging financial advisory practices has become quite popular in recent years. Settling operational issues in advance lays the foundation for a successful merger.
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?
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 June 1, 2011 Angie Herbers	Who's Responsible? Creating a culture that gives employees ownership of their jobs solves myriad problems.
Investment Advisor April 2007 Mark Tibergien	Ready, Fire, Aim With the dramatic growth of the average financial advisory business over the past five years, practitioners are being forced to develop a new skill in order to cope with the changing dynamics of their practice: management.
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 December 2008 David Lawrence	Sending A Message Employee manuals set rules for financial advisory firms that can save time and money.
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
Investment Advisor July 2008 Mark Tibergien	Awaken Your Inner Manager It seems that financial advisory practices hit a wall at various points -- at a staff of three, again at eight, again at 15, and so on. How can you break through these walls to successfully manage and develop your staff?
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.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
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.
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 August 2007 David Lawrence	Efficiency Vs. Efficacy Financial advisors need to not only prepare business plans, but also compare business results with those plans as an ongoing process to ensure that expected growth projections meet with results.
Financial Advisor July 2006 David L. Lawrence	How To Hire The Perfect Employee Look at why you want to hire someone -- and what job they'll do.
Investment Advisor January 2010 Angela Herbers	The Fast Track: Where Credit Is Due As the financial crisis ebbs, advisory firms should be sure to take care of their employees.
Financial Advisor June 2007 Rebecca Pomering	Building The Dream Team A performance management system is critical to the health and success of any financial advisory firm. A well-designed performance management system helps managers meet the need for individual challenge and motivation that aligns with the firm's strategic direction.
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.
Investment Advisor June 2010 Mark Tibergien	A Clear Sign You Haven't Achieved Critical Mass You know you've achieved critical mass when the departure of an employee or significant client doesn't send the business into a tailspin.
Financial Advisor July 2010 Bernie Clark	Gunning For Growth RIA firms estimate that they'll see 15% revenue growth this year. An emphasis on efficiency will free principals to go after new business again.
Financial Advisor April 2005 Tibergien & Pomering	The Challenge Of Growth Most financial advisory firms are too big and yet too small. The profession is at an entrepreneurial crossroads.
Financial Advisor March 2012 David Lawrence	Creating A Social Media Policy Financial advisors are wise to embrace the new communication medium. But, there are a number of issues to be addressed as they embark on a communications strategy.
Financial Advisor August 2012 Jon Beatty	A Promising Road Advisors are enjoying strong growth despite significant challenges in the financial markets.
Financial Advisor February 2012 David Lawrence	How To Hire Right Three steps that will help you avoid choosing the wrong person for a job.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Investment Advisor August 2005 Mark Tibergien	Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers.
Financial Advisor May 2004 David L. Lawrence	Tactical Efficiency Here are some basic steps to let you do more with less effort.
Financial Advisor December 2010	Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc.
Financial Planning January 1, 2013 Ann Marsh	RIA Leaders: The Price of Independence Bank and Broker-dealer affiliations help RIAs bear the technology and compliance costs of growth, but can chip away at objectivity.
Investment Advisor July 2006 Angela Herbers	The Fast Track: Positive Party Annual evaluations can bring out the good in your employees. The problem is that many financial planners simply don't know how to conduct a good evaluation of their employees to achieve these positive results. Here's how to get it right.
Financial Advisor December 2005 Harold Evensky	Unintended Consequences Brokers must forego the bells and whistles accompanying much of the current planning software if they wish to avoid having to register as investment advisors; however, that should not prevent them from appropriately using these analytics in arriving at suitable recommendations for their clients.
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 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.
Investment Advisor October 2008 Maya Ivanova	War Room How the most successful advisory firms are mitigating risk on two fronts: for their clients, and for their own businesses.
Investment Advisor March 2008 Joni Youngwirth	There Is No Tenure for Advisors Planners who love what they do keep on doing it long after reaching "retirement age".
Financial Planning November 1, 2006 Glenn G. Kautt	A Tale of Two Hires Sometimes new hires don't work out as planned. Resist the temptation to categorize employees in simplistic ways and continue to challenge your own assumptions about everyone you work with. This is a warning cloud for every manager.
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.
Inc. December 1, 2008	Reviewing the Troops Three guidelines for employee reviews.
Financial Planning November 1, 2012 Donald Jay Korn	The Joys of Not Being in Charge: Being an Employee Not an Employer Some advisors find being an employee offers fewer hassles and more time with clients.
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.
Investment Advisor September 2009 Angela Herbers	The Fast Track: All The King's Men Creating the right jobs for the right people
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Financial Planning February 1, 2006 Marshall Eckblad	The Cost of Inefficiency As demand for competent wealth management grows, the need for efficient and successful business operations is greater than ever for advisory firms.
Financial Planning December 1, 2011 Deena Katz	Replacing Yourself Who's going to sit in your chair and meet with your clients when you're no longer doing it? That question leaves many advisors speechless.