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Investment Advisor
June 2007
Mike Patton |
Up and Out For financial advisors, there's a big difference between imagining independence and being independent. Here, a newly independent advisor learns some lessons and wins clients.   |
Investment Advisor
June 2009
Mike Patton |
Temperament & Tools To do the job right, the fiduciary financial planner needs the right temperament, and the right tools. Here's how one advisor does it. |
Investment Advisor
October 2009
Mike Patton |
One True Thing Two and a half years after going independent, one advisor shares what he's learned. Service is the key. |
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. |
Investment Advisor
April 2007
Michael J. Patton |
Plotting Your Course By using his planning skills, ideals, and love of liberty, here is how a financial advisor went independent. |
Investment Advisor
June 2010
Mike Patton |
Four Keys In the financial services industry, as in so many other professions, creating a successful enterprise comes down to a few key areas. |
Investment Advisor
June 2008
Mike Patton |
Lessons Learned As the road smooths after a year of independence, a registered independent advisor shares his insights. |
Financial Planning
January 1, 2009
Stephanie Bogan |
Makes You Stronger For the financial advisory profession, the true test of these times will not be measured by portfolio returns, but by the ability of the independent advisor to traverse troubled waters and stand soundly upon the opposite shore. |
Investment Advisor
September 2008
Philip Palaveev |
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong. |
Financial Advisor
July 2011
David Lawrence |
The Mobile Advisor Is working without an office a viable business model? |
Investment Advisor
May 1, 2011
Joni Youngwirth |
Marketing 101: Answers to 10 Common Questions The long-term rewards of a good marketing campaign will more than pay for the challenges |
Financial Advisor
June 2012
Joni Youngwirth |
Who Is Your Firm's CFO? Advisory firms need to better manage their financial risks. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
Investment Advisor
July 2009
Jonathan Henschen |
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. |
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. |
Investment Advisor
November 2006
Thomas D. Giachetti |
Defining Fiduciary What is a financial advisor's true fiduciary duty? |
Investment Advisor
September 2008
Adolf & Kodialam |
Brick by Brick How to implement an active marketing program to compliment the traditional word-of-mouth method of finding new clients. |
Financial Advisor
March 2005
Rebecca Pomering |
Applying Sound Practices to Your Biggest Investment You are a talented advisor and a skilled investor. Turn even a fraction of these skills toward your business, and you will find it has as meaningful an impact on your business, your family, your staff and your life, as you have on your clients' every day. |
Registered Rep.
November 1, 2005
Christopher O'Leary |
Going All the Way Across the country, registered rep employees of national broker/dealers daydream of chucking it all and going off on their own. But how far do you go? Which is the best model for keeping the most of what your business generates? |
CRM
February 1, 2007
Colin Beasty |
Secret of My Success: Watching the Wampum An IT outsourcing advisor turns to Expensewatch.com to make sure that employees get reimbursed and that customers are worth the investment. |
Investment Advisor
November 2009
Joni Youngwirth |
Expert's Corner: Bringing Structure to Discussions Using a structured approach to discussing important issues in your advisory firm can dramatically improve your decision making process. |
Investment Advisor
November 2009
Mark Tibergien |
Formulas for Success: Cash Flow Cachet Failure to project and monitor cash flow monthly has caused many advisory firms to make ill-informed decisions. |
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. |
Financial Advisor
January 2007
Tere D'Amato |
Faux Financial Planning If you aren't indispensable to clients, in the end a life insurance agent may fill the void. As a financial advisor, you should resolve to do all you can in 2007 to ensure that your clients understand the pivotal role you play in their financial life. |
Financial Planning
November 1, 2008
Michael A. Bell |
Time Is Money When asked what their greatest challenge is, virtually all advisors say it's not product complexity -- or even the regulatory landscape -- that causes the most stress. It's lack of time. |
Investment Advisor
September 2008
Angela Herbers |
Under-Cookin' the Books There is irony in the fact that a significant number of financial advisory firms don't keep adequate financial records of their own. |
Financial Planning
September 1, 2008
Callahan & Malo |
Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses. |
The Motley Fool
February 17, 2005
William Stecker |
The Oft-Missed Deduction Did you know that expenses incurred in the production of income are deductible? When it comes to investment expenses, let Uncle Sam help. |
Investment Advisor
September 2008
Mike Patton |
B/D or RIA? The Case for the Registered Investment Advisor After considering the different options, one advisor explains why he opted for the registered independent advisor model. |
Financial Advisor
July 2011
Bernie Clark |
A Record Year For RIAs Discipline both on the expense and client care sides has created sound business practices for an evolving RIA industry. |
Financial Advisor
July 2004
Joel P. Bruckenstein |
A Look At Perspective Partners A conventional, but customizable, Web-based approach to portfolio construction. |
Registered Rep.
April 23, 2010
Halah Touryalai |
Compensation Key To Breakaway Recruiting Pitch RIA principals and consultants discuss strategies for wooing and hiring advisors from various different kinds of firms. |
Investment Advisor
September 2007 |
Bloomsday Here's why Mike Patton's newfound independent financial advisory practice is showing definite signs of life. |
Financial Advisor
November 2003
J. Michael Martin |
Dear Paul... Providing advice on financial basics for clients' adult children |
Investment Advisor
May 2010
Mike Patton |
Carpet Balming Linear projections set the stage for more advanced forms of projecting the future, and a new way for independent advisors to become risk managers. |
The Motley Fool
October 27, 2006
Dan Caplinger |
Don't Stop Thinking About Tomorrow Credit offers make you think that you can have whatever your heart desires, no matter what your financial situation happens to be. While it's easy to lay blame for rampant debt levels on business, it's not realistic to expect businesses to protect you from yourself. |
On Wall Street
January 1, 2013
Alan J. Foxman |
Holding On to a Series 7 Securities License After Leaving a Broker-Dealer Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer. |
Investment Advisor
April 1, 2011
Joni Youngwirth |
To Ask or Not to Ask? Develop an Effective Referral Strategy in a World of Contradictory Advice It's not how, who, or when you ask -- it's if |
The Motley Fool
August 26, 2008
Dan Caplinger |
Is Your Broker Robbing You Blind? With many advisors charging fees based on assets under management, there's always a possibility that your advisor will recommend commission-generating investments that aren't the best for you. Although it looks innocent, that amounts to outright theft. |
Registered Rep.
April 16, 2014
Mindy Diamond |
Outgrowing the IBD For advisors who are managing more than $500 million in client assets and are looking to build an enterprise, the independent broker/dealer model may have become too limiting for them. |
On Wall Street
October 1, 2008
Larry Silver |
Keeping It Simple Perhaps the best investment strategy for these volatile times, shared by the most successful advisors, was quite simple: Remain fully invested in a basically conservative, diversified portfolio.. |
Registered Rep.
July 16, 2009
Halah Touryalai |
Schwab Profits Down for Q2 But Keeps Adding Breakaway Brokers Charles Schwab reported that its second quarter profit fell 31 percent, thanks to low interest rates and soft capital markets, but in the meantime the company has added 74 breakaway advisors to its RIA platform. |
Registered Rep.
March 1, 2008 |
Independent Together The "RIA-in-a-box" model will attract plenty of wirehouse reps who may have previously balked at the idea of going completely independent, fearing they were unprepared to run their own businesses. |
Investment Advisor
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
