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Financial Planning January 1, 2012 Scott Wenger	Learn from the Leaders A quick guide to several articles about RIA leaders and details about the industry.
Financial Advisor November 2011 Evan Simonoff	What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation.
Financial Planning April 1, 2013 Scott Wenger	Editor's Note: Teaming Up for Small Business As entrepreneurial clients build their businesses, advisors should bring in specialists to maximize the value
Investment Advisor March 2006 Angela Herbers	The Fast Track: Glory Days Financial planners need to decide whether they want stardom or the benefits of a growing firm.
Financial Planning July 1, 2013 Scott Wenger	FPA's Michael Branham: Succession on His Mind The FPA s president says advisors of all ages should be thinking about the next chapter of their careers.
Financial Advisor March 2010 Evan Simonoff	When Advisors Distort Editor's Note: One advisor, who claims to be a CFP licensee and proclaims himself to be an advocate of self-directed investing, used the statistics in last year's survey with extreme dishonesty to make his point.
Registered Rep. August 1, 2005 Matt Barthel	RIAs in Flux The pioneering ways of registered investment advisors (RIAs) are coming back to bite them. Once on the cutting edge of "holistic" financial planning and fee-based client relationships, RIAs are now just one of a pack of firms offering such services.
Investment Advisor November 2006 Bob Clark	Name Game Advisors who want to benefit from the more favorable economics of working with fewer -- but higher net worth -- clients will increasingly need to position themselves as investment managers or wealth managers.
Financial Planning October 1, 2012 Scott Wenger	Editor's View: Architects of Change The Influencer Awards give us the chance to recognize a few financial planners for pushing the envelope for everybody else. Choosing among them was a happy problem.
Registered Rep. February 2, 2011 Diana Britton	RIA M&A Hits Record in 2010, More To Come In 2011 Registered investment advisory firms were furiously busy getting hitched last year: they did the highest number of merger and acquisition deals recorded in at least seven years.
Financial Advisor March 2012	So You Think You're A Financial Planner? A recent study from industry research firm Cerulli Associates looked at advisors across all channels and compared how they describe themselves with how they actually do business.
Investment Advisor June 2010 Angela Herbers	The Fast Track: American Standard Comp tables based on surveys of advisory firms won't help you find the right salary range for your firm if those firms are over- or underpaying.
Registered Rep. December 1, 2006 Christopher O'Leary	Saving the Entrepreneur From Himself For financial planners, showing a business owner the value of his company -- the potential lump sum from a sale -- can focus the mind.
Financial Planning February 1, 2012 Scott Wenger	Planning the Unknowable As all savvy advisors know, smart tax planning is not only about choosing the right strategy at the right time, it's also about avoiding bush league mistakes.
Investment Advisor May 2008 Mark Johannessen	Embracing Change on Our Own Terms Given the recent announcement by the Treasury Department of an ambitious reform package for the financial services industry, financial planners have no choice but to prepare for change.
Financial Planning November 1, 2009 Donna Mitchell	Earnings Trends Everyone knows these have been tough times, but the good news is that although earnings were down in 2008, and may well be down in 2009, advisory firms still plan to hire and soon.
Registered Rep. December 4, 2012 Jerry Gleeson	Taking Care of Business A survey this year by REP./Wealth Management.com shows how RIA attitudes differ from those among advisors in other channels.
Financial Planning January 1, 2013 Scott Wenger	Editor's Note: Independent by Choice The shaping of this year s list reveals plenty about the shifting dynamics of the RIA industry.
Investment Advisor February 2008 Angela Herbers	Barring the Door How to stop training your (future) competition.
Financial Advisor March 2004 Evan Simonoff	Editor's Note Virtually none of the several dozen advisors I spoke with was dissatisfied with the state of their business. At least if they were, they weren't saying so.
Financial Planning November 1, 2012 Scott Wenger	Editor's View: The Nation's Top Financial Planning Schools A catalog of some of the nation's top financial planning schools is a resource for both planners-to-be and today s advisors
Financial Planning October 1, 2006 Marshall Eckblad	What's The Fuss About NexGen? The new generation of financial planners is smart, energetic, university trained -- and committed to invigorating your business. Here's why you should hear them out.
Registered Rep. October 8, 2015 Megan Leonhardt	Breakaway Advisors Moving More to Existing RIAs More advisors are looking to leave the wirehouses and brokerages by joining an existing registered investment advisory firm, rather than starting their own.
Financial Planning September 1, 2010 Marc Freedman	Word Games The public wants to hire financial planners who can visibly showcase an ongoing commitment to their words and promises.
Investment Advisor September 2008 Mark Tibergien	The Bounty for Captain and Crew Does ownership of an advisory firm pay enough when rewards for employees are so high?
Financial Planning March 1, 2011 Larry Light	The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals.
Financial Planning November 1, 2008 Stacy Schultz	Today's Business Owner A new study shows that business owners represent 37% of high net worth households and nearly one-third of retirees. These wealthy entrepreneurs present unique challenges to advisors.
Financial Planning May 1, 2008	Best and Brightest Founder and CEO of CEG Worldwide shows you how to benchmark your performance against the advisory community... Stay on top of the major issues in the financial advising with Bob Veres column... etc.
Financial Advisor September 2009	Frontline News News for the financial services industry: Regulations, Fiduciaries And Other Things... Breakaway Broker Trend Slowing?... Barney Frank Won't Push SRO For Advisors... CFP Board's Proposed New Education Standard... M&A Activity Down, But Not Out... more...
Financial Planning April 1, 2012 Bob Veres	21st Century Regulation What is the best way to regulate fiduciary RIAs? How best can we identify and weed out bad apples and better protect consumers in the process?
Financial Planning February 1, 2008 Bob Veres	Death by Regulation The financial planning profession is about to fight for its survival against well-funded opponents. Here are some possible outcomes.
Financial Planning September 1, 2012 Bob Veres	Why Doesn't the RIA Community Come Up With Better Proposals? Instead of fighting against bad proposals, shouldn't the RIA community be proposing better alternatives? We assume that the goal of the Dodd-Frank Act is to tighten up lax RIA regulation.
Investment Advisor July 2010 Lewis Schiff	Succession Planning: Buying and Selling Wealth Management Practices 2010 could be the biggest year ever for mergers and acquisitions in the financial advisory industry, but the players and strategies are different than they were prior to the market turndown.
Investment Advisor January 2010 James J. Green	Numerology: Bright Future for Advisor M&A Activity M&A activity among RIA firms is poised for resurgence, as a new market environment emerges and the pool of potential buyers undergoes dramatic change.
Investment Advisor November 2006 Angela Herbers	Operation Ownership One of the major failings of the independent advisory industry has been the reluctance of advisors with established practices to extend ownership to junior professionals who helped them attain their success.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Investment Advisor January 2006 Maya Ivanova	Listen Up Financial advisory firms are demonstrating their ability to weather the tough times of the last few years. But to continue their profitability in the future, they need to make client service a priority.
Investment Advisor June 2008 Angela Herbers	Blue Chips A once in a lifetime opportunity exists for advisors to attract professional talent in a down market.
Financial Advisor June 2012 Evan Simonoff	The Great Divide When the International Association For Financial Planning merged with the Institute Of Certified Financial Planners 12 years ago, members of both groups hoped the new 30,000-member strong organization would at long last allow the profession to speak with a single voice that could give it clout.
Financial Planning August 1, 2012 Dave Grant	New Kids in the Field Fee-only RIA firm owners and tenured financial planners younger than 30 are ready to move the planning profession forward and are in a strong position to do so.
Financial Planning November 1, 2012 Elson et al.	Hot Topics Rosy outlook for advisory firms... Changes coming for ce credit... Retirement sweet spot...
Financial Planning November 1, 2007 Kathy Gevlin	How Is Your Business? Having survived bubbles, busts and bouts of irrational market behavior, the best financial planners are now feeling very rationally exuberant.
Financial Planning February 1, 2012 John F. Wasik	State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult.
Financial Advisor October 2012 Jeff Schlegel	The Great Divide? An expectation gap between older and younger advisors might be hamstringing the profession's growth.
Financial Planning November 1, 2006 Daniel B. Moisand	Keep Standards High Financial planning is surprisingly under-regulated. The rules that do exist apply primarily to subset disciplines. As a result, all planners are regulated but no one really regulates planning.
Financial Advisor July 2009 Sherri Scordo	Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.
Financial Planning February 1, 2007 Elizabeth O'Brien	Advisor Pulse Financial advisors used to flying solo may be daunted by the prospect of hiring help, but going it alone can put a big damper on growth, according to a recent survey.
Registered Rep. December 4, 2012 Jerry Gleeson	A Lifestyle Choice REP.'s recent "Practice Management" study shows that RIAs tend to use coaches less than counterparts in other channels. Are time and money constraints the reason?
Investment Advisor December 2006 Bob Clark	Hope It Wasn't Something I Said The CFP Board's chance to rethink its role in the financial planning profession.
Investment Advisor July 1, 2011 John Sullivan	Finding Success in Succession Planning Whether you're affiliated with a broker-dealer or completely independent as an RIA, proper succession planning helps you realize value long before you walk out the door.