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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 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 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 September 2009 Mike Patton	Way Up The author describes the eight-step process he uses in managing money for his clients. It's worked out pretty well in a difficult environment.
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.
Investment Advisor June 2008 Mike Patton	Lessons Learned As the road smooths after a year of independence, a registered independent advisor shares his insights.
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 November 2007 Mike Patton	The Long and Winding Road An independent advisor reflects on the ups and downs of the past six months since he has started his own practice.
Financial Planning October 2, 2007 Michael Dubis	The Fiduciary Test As a financial planner, are you really on your clients' side? Ask yourself some of these tough questions.
Investment Advisor January 2008 Mike Patton	Shining a Light on Software Our intrepid advisor kicks the tires on four applications that pick and monitor clients' investments. Morningstar Principia... Advisor Workstation... etc.
Financial Advisor July 2011 David Lawrence	The Mobile Advisor Is working without an office a viable business model?
Investment Advisor September 2008 Steve Moore	Less Is More To become a wealth manager, you may want to start with fewer clients.
Financial Planning March 1, 2011 Stephanie Bogan	Growth: Realizing Your Potential To build your advisory practice into what you dream it will be, you need to see it clearly and then think like a businessperson, streamline operations and market yourself.
Financial Planning December 1, 2008 Scott Schutte	Setting Yourself Apart The wave of retiring baby boomers in the coming years will pave the way for advisors who wish to move away from traditional investment management and focus on specialized financial planning and wealth management services.
Financial Planning July 1, 2011 John J. Bowen, Jr.	Consultation, Not Just Advice Financial advisors offer advice, of course, but they'd be much better off if they thought of themselves as consultants.
Financial Advisor March 2008 David Lawrence	A Higher Standard It is incumbent on all financial advisors to acknowledge their potential role as a fiduciary and act accordingly where and when applicable. So, that leads to a question of just what a fiduciary does during a typical day.
Financial Advisor January 2007 Sydney LeBlanc	The Lost Art Of Consulting Technology streamlines a messy, time-consuming process, but some financial advisors and other consultants still like to get their hands dirty.
Investment Advisor September 2005 Mark Tibergien	Formulas for Success: The Price of Everything... If you're not adding profit into what each financial advisory client costs, you're losing money. Advisors who use a combination of performance fees tied to assets and a retainer tied to more complex planning are able to consistently demonstrate their value.
Registered Rep. September 27, 2011 Joshua Brown	Opinion: In Defense of the Asset-Based Fee Model If there is a client who feels he is paying fees to a fee-based financial advisor and is unsatisfied with the service -- that client is able to make a single phone call to the custodian brokerage firm and terminate the advisor's fee agreement.
Financial Advisor August 2005 David J. Drucker	The Case Against Benchmarking Do benchmarks in portfolio reports convey the wrong message?
Financial Planning October 1, 2011 Donna Mitchell	Knowing Their Worth Many advisors are squeamish about taking anything other than a flat percentage fee for assets under management.
Financial Planning September 1, 2011 Donald B. Trone	Code of Conduct The SEC has done little to define the baseline professional conduct associated with the proposed standard-an advisor's duty of care.
Financial Advisor April 2005 Anthony & Diliberto	The Foundations Of Trust Financial advisors need to ask about their prospects' values before they ask about their account values. Good questions are the key to a better advisory business.
Investment Advisor September 2007	Bloomsday Here's why Mike Patton's newfound independent financial advisory practice is showing definite signs of life.
Investment Advisor April 2008 Norman M. Boone	Getting Comfortable With Change Here are some communication tips for introducing change to your clients.
Financial Advisor May 2011 Jennifer M. Wolfsberg	A Lesson From Jerry Maguire With the tumultuous market conditions over the last decade, how do advisors rebuild their business financially? More importantly, how do we rebuild and strengthen client relationships?
Financial Planning July 1, 2013 Bob Veres	How to Fix the AUM Fee Model Advisors are trying a dizzying variety of compensation plans. Some have been a lot more successful than others.
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 Advisor April 2005 David L. Lawrence	Linking Client Profitability To Client Acquisition Goals The kind of financial advisory practice you operate will determine the type of client you seek.
Registered Rep. September 29, 2005 John Churchill	Are You Charging Enough? With competition fierce -- and clients more informed than ever -- it's important to make sure that you are not selling yourself short. In fact, you may not be charging enough for your financial advisory services.
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 November 2007 Tracey Longo	Is Your Price Right? A select group of advisors are significantly increasing their planning fees. Here's the lowdown on unbundling and how your pricing helps or hurts your firm.
Financial Planning October 1, 2010 Donald B. Trone	Last Step: Monitor A closer look at the final step in the investment management process: Monitor. Plus, clues about when it might be time to fire your money manager.
Financial Advisor September 2006 Andrew Gluck	Referencing Referrals While many financial advisors around the country struggle to bring in new clients and grow their businesses, others enjoy an embarrassment of riches -- they have so much new business they don't know how to handle it. Why?
Financial Advisor July 2010 Bill Bachrach	Practice Overload Advisors have too many clients and are working too many hours, for too little money.
Financial Advisor August 2010 Roy Diliberto	An Elusive Profession Work still needs to be done so that clients, regulators and the media view and understand us for what we -- financial planners -- are.
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.
Investment Advisor October 2008 Kodialam & Adolf	Gold Medal You can deliver exceptional service throughout the client lifecycle.
Investment Advisor March 1, 2011 Jim Komoszewski	Creating a Business Plan (You Will Actually Use) The trick is to think small -- about 3x5 to be exact. A one-page plan that is implemented and executed is better than a 20-page plan that is being used to stabilize a wobbly desk.
On Wall Street August 1, 2009 Jim McCarthy	Managing Retirement Risk: It's All About Attitude Managing retirement risk for clients with less than $5 million in assets is quite possibly the most difficult job faced by a financial advisor.
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 Planning March 1, 2010	Special Report: Your Practice Management Questions Answered Advisors answer questions about practice management: Branding... Planning for growth... Coping with revenue roller coasters... more...
Financial Advisor June 2004 Sydney LeBlanc	SMAs and Due Diligence: Streamlining The Process Software tools and common sense can help advisors enter the separately managed accounts (SMA) business.
The Motley Fool July 15, 2008 Tom Hutchinson	Mutual Fund Advisory Madness If you use a financial advisor, you've probably been approached to invest in a diversified group of funds or a mutual fund advisory program. But be careful before you accept -- they may cost you more than your portfolio can afford.
Registered Rep. May 1, 2012 Anne Field	Slow Growth Hustle Thomas Balcom wants to take his $50 million AUM practice in Boca Raton, Fla. to $100 million in five years.
Financial Advisor July 2008 Rebecca Pomering	When Is The Price Right? To answer the question -- how much, or equally important, in what way should an advisor be charging -- one has to understand a number of things about an advisor's practice.
Financial Advisor March 2006 Grove & Prince	The Secrets Of Million-Dollar Producers Here is how the role client loyalty plays in both the sustainability of the client/advisor relationship through difficult market conditions and poor performance and the client's willingness to provide more assets and referrals to the advisor.
Financial Advisor October 2008 David Lawrence	A Model Relationship Having stronger client relationships should not just be your goal but one of your top priorities.
Financial Advisor September 2005 Bruce W. Fraser	Through The Eyes Of Estate Planning Attorneys Attorneys and financial advisors are natural allies in the estate planning process, but if the relationship is not cultivated properly, it can deteriorate quickly.
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.