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Investment Advisor October 2005 Melanie Waddell	The Playing Field: Welcome to the Family Becoming a wealth manager is not quite as easy as it looks. But the mid-tier millionaires are underserved, so honing skills and capturing some of them as clients should be on every financial adviser's list.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Investment Advisor August 2005 Melanie Waddell	The Playing Field: Serving Mid-Tier Millionaires Mid-tier millionaires desperately want to reduce the complexity of managing their wealth and consolidate all of their financial needs under one roof. Can you help them?
Investment Advisor November 2005	Letters: Follow-up on Fiduciaries Acting like a fiduciary and agreeing in writing to serve in a fiduciary capacity are two entirely different things... Making It Alone... Corrections...
Investment Advisor December 2009 Kathleen M. McBride	B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.
Registered Rep. October 1, 2002 David A. Geracioti	Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have?
On Wall Street July 1, 2009 Helen Kearney	The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own.
Investment Advisor September 2009 Melanie Waddell	Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.
Registered Rep. February 1, 2006 Russ Alan Prince	Rep's Honor Here is how wealth management readily translates into additional assets under management for financial advisers and what they can do reach this target market.
Investment Advisor March 2008 Melanie Waddell	Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines?
Investment Advisor July 2009 Melanie Waddell	Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Registered Rep. December 1, 2006 John Churchill	Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners?
Registered Rep. February 1, 2006 Kristen French	Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.
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.
Financial Advisor July 2006 Dorothy Hinchcliff	Climbing A Stairway To Heaven As boomers age and spend their savings, financial advisors will need to adapt their practices.
Registered Rep. November 1, 2004 Will Leitch	The Advisor as Traffic Cop As high-net-worth investors spread their assets around more liberally, they are finding themselves in need of a traffic cop -- a central advisor who can sit in the middle of all the financial activity and make sense of it all.
Registered Rep. May 2, 2011 Diana Britton	Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial
Financial Advisor October 2010 Scott A. MacKillop	One Standard, Period The debate over the fiduciary standard should be about clients - and it would be over in a heartbeat if it were.
The Motley Fool August 2, 2005 Selena Maranjian	Questions to Ask Your Broker You may be surprised at how your broker makes his money. Here are some important questions to ask your broker or financial advisor, as not all financial professionals operate by the same rules.
Registered Rep. March 16, 2012 Kristen French	Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like.
Registered Rep. August 1, 2006	The Broker-Dealer Exemption: Good or Bad for the Investing Public? (Oy, This Still Hasn't Been Resolved?) True financial advisors -- those who hold Series 65s and Series 66s, and who are fiduciaries -- aren't too happy that Series 7-holders have been able to cast themselves as financial advisors.
The Motley Fool December 8, 2006	Questions to Ask Your Broker Here is some good advice regarding questions you might want to ask your broker before handing over your hard-earned cash. Make sure you get the right answers before you start investing.
Investment Advisor November 2009 Kathleen M. McBride	Merrill's Big Plans The importance of culture at the organization is what Sallie Krawcheck spoke of at her first press conference as president of Global Wealth Management & Investment Management at Bank of America Merrill Lynch.
Registered Rep. May 6, 2007 Christina Mucciolo	More Millionaires Investing on Their Own, Study Says There are a lot of millionaires in the United States. More than ever, in fact, according to recent research. But are they turning to financial advisors for help? Well, yes, and no.
Bank Technology News September 2002 Elizabeth Logue	Wealth management: Advisors Finally Waking Up to the Internet's Useful Influence Bucking the market once again, Charles Schwab is doing the unthinkable: encouraging financial advisors to use the Internet to service affluent customers.
Investment Advisor January 2010 Bob Clark	Clark at Large: The Riddle of the CFP Board Have you ever wondered what those folks at the Certified Financial Planning Board are thinking?
Financial Advisor March 2012 Bernie Clark	The Changing Affluent Investor Advisors must prepare for new affluent clients and the changes, attitudes and expectations they will bring with them.
Registered Rep. May 25, 2005 John Churchill	Millions to Choose From Advisors gunning for millionaire clients now have more prospects to choose from -- and a blueprint for what they're looking for -- according to a new survey which says that 1.3 million new American households became millionaires in 2004.
Investment Advisor May 2007	That's Not How I Read PPA Letters to the editor: DOL Requires More Due Diligence for 401(k) Advisors... You say adviser, we say advisor... Corrections...
Investment Advisor September 2007 Kathleen M. McBride	A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates?
Registered Rep. June 1, 2007	The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts?
Registered Rep. July 1, 2006 Kristen French	Trading Up The Wealth Advisor Institute, a new trade group for advisors who cater to the wealthy, opened its doors in June.
Financial Planning October 1, 2006 John J. Bowen	Outsource It! As a financial advisor, if you want to focus on wealth management, consider outsourcing everything else to a turnkey asset management provider.
Registered Rep. September 10, 2003 David A. Gaffen	Existing Clients Want More Advice The good news for reps is that the world doesn't hate you. The bad news is that acquiring clients -- particularly affluent ones -- is getting a lot more tough.
Financial Advisor July 2012 Jim McConville	RIAs Catching Up To Brokers In Compensation The compensation gap dividing elite independent advisors and top Wall Street brokers is closing, according to new research.
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.
Financial Advisor December 2005 Harold Evensky	Unintended Consequences Brokers must forego the bells and whistles accompanying much of the current planning software if they wish to avoid having to register as investment advisors; however, that should not prevent them from appropriately using these analytics in arriving at suitable recommendations for their clients.
Financial Planning November 1, 2009 John J. Bowen Jr.	Getting the Right Help Financial services firms aren't doing enough to support the transition to wealth management.
Registered Rep. December 1, 2006 Kristen French	60 Seconds with Deborah Doyle McWhinney A short interview about the rivalry between the registered investment advisor (RIA) firms that Schwab caters to and Wall Street wirehouses.
Registered Rep. June 30, 2010 Christina Mucciolo	Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.
Registered Rep. February 23, 2010 Halah Touryalai	Clients, The New Breakaways First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients -- former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers.
Investment Advisor September 2008 Steve Moore	Less Is More To become a wealth manager, you may want to start with fewer clients.
Financial Advisor February 2, 2009 Sherri Scordo	Advisor Emporium Pershing assists advisors going independent... New advisors receive technology assistance... FPA offers best practices tools... Direxion enters ETF market... Foliodynamix joins communications gateway... Scottrade adds portfolio director...
Registered Rep. April 16, 2012 Jerry Gleeson	Schwab RIA Unit Sees "Consistent" Growth Schwab Advisor Services is signing up advisor assets at a pace that tracks its historical average.
Entrepreneur December 2006	Advise Advisory Hiring fiduciary advisors for your employees.
Investment Advisor December 2005 Melanie Waddell	Breaking Away Brokers are finding it easier than ever to go independent, aided by custodians and other independent advisors.
Financial Advisor May 2005 Lavine & Liberman	Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed.
Registered Rep. April 1, 2010 Halah Touryalai	Citi's Covert Makeover It's a major shift in business for an entire unit to leap in the fee-only RIA world.
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.