Simple, Not Simplistic
James J. Green, Investment Advisor May 1, 2010
Tom Giachetti preaches a simple approach to compliance: Know what you need to do, but also know you don't need to do.
The SEC Wants You to Consisder the Catastophes
Les Abromovitz, RIABiz, April 7, 2010
How a RIA should prepare for the worst.
The SEC's Unannounced Compliance Exams Are Growing More Common
Les Abromovitz, RIABiz, April 28, 2010
The "I'll-get-to-it strategy is even worse idea than before.
14 Tips For How to Act When the SEC Auditor is in Your Office
Elizabeth MacBride, RIABiz, January 14, 2010
No need to be a doormat but treat the visitor as a guest.
Elizabeth Witnesses a Mock Audit First Hand and Feels the Advisor's Pain
Elizabeth MacBride, RIABiz, January 13, 2010
Mock audits are in hot demand because they cut back on regulatory blindsiding.
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MARKET NEWS
Silver Lining
Stephen J. Huxley and Brent Burns , Investment Advisor, May 1, 2010
Investors can limit fixed income losses due to rising interest rates by laddering individual bonds and holding them to maturity.
Schwab Reports 54% Jump in Advisors Turning Independent
James J. Green, Investment Advisor, August 31, 2009
Uncertainty at wirehouses driving move to become RIAs. Schwab Advisor Services said that a "persistent undercurrent of uncertainty" at the wirehouses was prompting many wirehouse brokers to take the independent route.
How to Increase Client Satisfaction
Evan Cooper, Investor News, July 22, 2009
If the market decline of the past year or so has taught the investing public anything, it's that professional investment advice - whether from top Wall Street gurus, mutual fund managers or financial advisers - doesn't ensure success.
PRACTICE MANAGEMENT
How Top Financial Advisors Beat Others
Financial Advisor, April 5, 2010
(Dow Jones) The best advisors aren't just beating their peers. The numbers show them practically pounding them into the ground..
Solos Holding Their Own
David Lawrence, Financial Advisor, June 2010
One person advisory firms can stand out when they outsource and use technology effectively.
Advisers Held Hostage by Portfolio Systems
Davis D. Janowski, Investment News, March 28, 2010
Move to a new service can be a headache. Advisers are being held captive by their portfolio management systems. That's what many financial advisers have been telling me over the past few years, and apparently, providers and the advisers themselves aren't doing anything about it.
Advisers Rate Top Technology Concerns
Davis D. Janowski , Investment News, January 24, 2010
Areas needing improvement include compliance, customer relationship and portfolio management. Simplifying and better integrating compliance tasks, improving customer relationship management and developing more-robust portfolio management tools are the top technology concerns among financial advisers affiliated with independent broker-dealers, according to an online survey conducted by InvestmentNews this month.
Blogging: The Costs and Risks of Hoarding Your Thoughts are Rising
Andy Hyer, RIABiz, December 16, 2009
It's a new way for financial advisors to stay relevant with clients. The J.D. Power and Associates 2009 U.S. Full Service Investor Satisfaction Study reveals that the financial advisor is the most important aspect of overall investor satisfaction, accounting for 30% of this satisfaction in 2009, an increase from 22% in 2008. In contrast, investment performance declined in importance and accounted for only 15% of overall satisfaction in 2009, compared with 24% in 2008.
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