COMPLIANCE NEWS
SEC sends sharp warning to advisors using social media
Lisa Shidler, RIABiz, January 6, 2012
The Securities and Exchange Commission this week issued a sharp warning to advisors about the hazards of using social media...
Recent SEC enforcement actions make annual policies and procedures exams even more important
Guest Columnist Les Abromovitz, RIABiz, January 5, 2012
Time is getting short for a registered investment advisers to conduct its annual audit of the firm’s policies and procedures.
What Not To Do During a State or SEC Audit
Les Abromovitz, RIABiz, March 8, 2011
The four tempting -- but ultimately counterproductive -- tacts advisors sometimes take.
New Fidelity Survey Shows Advisors are Running Scared about Compliance Costs
Elizabeth MacBride, RIABiz, March 7, 2011
RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable.

ADV Help
Joel P. Bruckenstein, Financial Advisor, January 2011
This new Web-based platform helps RIAs easily update their regulatory reports.

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MARKET NEWS
Weak Economy Weighing Down Market
Dan Jamieson, Investment News, October 24, 2010
When it comes to the recovery, there are more bears than bulls, and that's bad news for investors waiting for stocks to take off.

Gloom Remains Pervasive
Andrew Gluck, Investment Advisor, August, 2010
A new gloom has descended on some of America's best investment advisors. Bill Bengen, known for his groundbreaking work on retirement withdrawal distributions, says we're ten years into a bear market that's likely to last another five or ten years.

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.

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PRACTICE MANAGEMENT
Top 10 ways financial advisers can 'market smarter' -- and enjoy it more in 2012
Maria Marsala , RIABiz, December 30, 2011
Developing a niche clientele will broaden, not narrow, your client base and can make your practice more profitable and pleasurable.

Early adopters of social media, RIAs are growing disenchanted with its power to drum up new business
Dina Hampton, RIABiz, December 29, 2011
Advisors must become better marketers before they can optimize social media, experts say.

The Challenge of Rebalancing
David Lawrence, Financial Advisor Magazine, May 2011
Of the many processes and/or procedures performed by financial advisory firms, investment rebalancing is arguably the most time-consuming and offers the greatest risk of inefficiency.

Silent Partner
Lisa Martin, Financial Planning, February 1, 2011
The operations side of the business is often overlooked, but an efficient, integrated and automated system can help a young firm reach its potential.

RIA Custodians: Innovating In '11
Jerry Gleeson, Registered Rep, February 1, 2011
Once a back-office backwater, custodians are providing financial advisors today with an array of services whose breadth has grown sharply in recent years: customer relationship management technology, risk management, compliance assistance, and much more.

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