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Investment Advisor September 2005 Melanie Waddell |
The Playing Field: The Image is All Important Document imaging is becoming a must-have technical solution for compliance-conscious financial advisors.  |
Investment Advisor February 1, 2011 Dan Skiles |
Building an Efficient Document Imaging Strategy The good news regarding document imaging and management is that most advisors are already storing some of their documents electronically. The challenge for advisors is making sure that they have the right system in place for their firm.  |
Financial Advisor September 2007 Joel Bruckenstein |
File Trials Today's regulatory, legal and security environments demand a more robust document management solution and financial advisors who downplay these issues may find themselves doing so at their own risk.  |
Financial Advisor March 2008 Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.  |
Financial Advisor May 2009 David Lawrence |
Worth The Investment The simple truth is that those advisors boasting an efficient document management system can bring their costs way down over time.  |
Financial Advisor December 2010 David Lawrence |
The Financial Plan Paradox Advisors try to help clients use their resources more efficiently, but often aren't efficient themselves.  |
Registered Rep. November 1, 2006 Susan Konig |
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.  |
On Wall Street August 1, 2012 Todd Colbeck |
Taking Your Office Paperless Are you using a typewriter or PC in the workplace? If you are using a typewriter, you can skip this article. If you are using a PC, it is time to digitize your business.  |
Financial Advisor February 2006 Joel Bruckenstein |
Rep Tech A broker-dealer's technology can play a key role in a rep's success and satisfaction. Perhaps independent reps should regularly compare the technology that their B-D offers against what leaders in the field have to offer.  |
Registered Rep. March 1, 2006 Kristen French |
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients.  |
Registered Rep. July 29, 2013 Diana Britton |
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs.  |
Financial Advisor June 2009 Joel P. Bruckenstein |
Stepping It Up Broker-dealers are enhancing the technology they offer to advisors.  |
Financial Advisor September 2005 Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.  |
Financial Advisor July 2008 David Lawrence |
Keeping The Record Straight Financial Planning Association President Mark Johannessen and Andrew J. "Buddy" Donohue, director of the investment management division of the U.S. Securities and Exchange Commission, discuss current regulatory issues affecting the financial planning profession.  |
Investment Advisor September 2008 Kara P. Stapleton |
Tech Trouble, Ops Issues A survey of investment advisors and wealth managers asks which areas of operations and technology are most challenging for their firms.  |
Registered Rep. December 1, 2006 Anne Field |
The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them.  |
Financial Planning September 1, 2008 Joel P. Bruckenstein |
Going Paperless More financial planners are starting to embrace the idea of using a document management system.  |
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.  |
Financial Advisor July 2008 |
Frontline News News of interest to the financial community: CFP Board's New Conduct Standards... SEC Examining More RIAs... Advisors Await Word On New Privacy Regulations... First Western Buys Fourth RIA Firm, Doubles Size...etc.  |
Financial Advisor February 2010 Joel P. Bruckenstein |
One For The Short List Document management system Image Executive allows advisors to operate more productively, efficiently and securely.  |
Financial Advisor August 2009 Eric Rasmussen |
Wish Upon An 'IAR' RIA or IAR? Registered investment advisor or independent advisor representative; the anagram you choose will depend on how big you are and how independent you want to be.  |
Registered Rep. September 1, 2010 Halah Touryalai |
Outgrowing the SERIES 7 There is a coveted cohort of dually registered advisors who are dropping their Series 7 licenses and leaving their b/ds behind.  |
Investment Advisor September 2006 Lauren Barack |
Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility.  |
Financial Advisor December 2008 Joel Bruckenstein |
Beyond Paperless Laserfiche Avante's document management and other features allow advisors to find new ways to structure work flow.  |
Financial Planning February 1, 2005 Brent Hicks |
Practice Tips A virtual office doesn't have an actual, physical location. Here are three important practical considerations when setting up a virtual financial advisory office.  |
Registered Rep. April 1, 2007 |
Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.  |
Registered Rep. March 14, 2012 Jerry Gleeson |
The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business.  |
Registered Rep. January 25, 2010 Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets.  |
Wall Street & Technology November 18, 2005 Maria Wakem |
E-Mail Contention While most financial services firms are now compliant with SEC e-mail retention rules, the problem of selecting the best technology for the job still persists and is largely due to confusion among compliance and IT departments regarding what needs to be accomplished.  |
Financial Advisor August 2012 Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.  |
Investment Advisor July 2006 Thomas D. Giachetti, esq. |
Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.  |
Financial Advisor January 2006 Tracey Longo |
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee.  |
Investment Advisor June 2007 Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.  |
Financial Advisor October 2007 David J. Drucker |
Triumphant Technology For some advisors, nothing brings success like finding the right technology. Killer App No. 1: The Paperless Office... Killer App No. 2: iRebal... etc.  |
Financial Advisor March 2010 David Lawrence |
A Key To Efficiency Advisors today have many choices when it comes to document management software.  |
CIO September 15, 2001 Ian Springsteel |
Are You Sure You Want to Save That? At most companies, managing electronic records means backing up everything in case disaster strikes. But that can get you in trouble, too, if you don't know what you're saving and why...  |
Financial Advisor January 2005 Tracey Longo |
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions.  |
Financial Planning February 1, 2011 Lisa Martin |
Silent Partner Advisory businesses cannot survive on investment acumen and business model alone. Operations can make or break your dreams.  |
Financial Advisor March 2011 Joel P. Bruckenstein |
The Commonwealth Way This independent broker-dealer has made great strides in integrating technology systems into its advisory platform.  |
Financial Planning December 1, 2007 Joel P. Bruckenstein |
2007 Software Survey For financial planners: What you're using, what you're not -- and how the right programs can improve your efficiency.  |
Bank Technology News February 2001 Debra Haverson |
Document Imaging After E-Sign New imaging technologies are more likely to be adopted now that electronic signatures are legally binding and paper contracts largely unnecessary...  |
Registered Rep. May 5, 2008 |
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs.  |
Financial Advisor November 2008 Gail Liberman |
War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms.  |
Registered Rep. March 1, 2006 Allen Plummer |
The Tech Decision Matrix Independent contractors or registered investment advisor reps have tough decisions in choosing their back-office and tech solutions. Here's what they need to consider.  |
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?  |
Registered Rep. February 18, 2009 Halah Touryalai |
LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets.  |
Financial Planning June 1, 2008 Elizabeth O'Brien |
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA.  |
Financial Advisor August 2005 Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors.  |
Registered Rep. March 1, 2008 Christina Mucciolo |
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm.  |
CIO March 15, 2003 |
Mandate from SEC Regulators: Save Your Electronic Documents The rules take effect Oct. 31, giving CIOs seven months to deploy the capability to save records if they don't already have it. Here are some tips for getting started with a document retention plan that meets the spirit and letter of the law.  |