Updated Thursday, September 3, 2015 as of 8:55 AM ET

Only Kind Words for a Departing Broker

Mason Braswell
October 23, 2013

Amid a highly competitive recruiting environment, Edward Jones shows a softer side.

What One Advisor Learned on His Summer Vacation

Jeff Spears
August 30, 2013

In addition to allowing one advisor time to contemplate bigger picture ideas, a two-week vacation served as a refreshing reminder that the world doesn't stop when we turn off our phones.

What’s on Your Company’s Dashboards?

Michael Nathanson
July 1, 2013

Advisory firms that truly seek to distinguish themselves as strong, sustainable businesses should be utilizing a business tool that already has saturated most other industries: the dashboard.

How to Cope With Angry Clients

Ken Haman
June 27, 2013

Working with clients can be difficult. You need to balance rational tasks of navigating capital markets with non-rational challenges of managing client emotions. In many ways, navigating client behavior is more complicated than navigating capital markets, since human emotions can swing wildly and less predictably. Check out some helpful ways to stay ahead of the curve.

Stand Out From the Retirement Advisor Crowd

Ken Haman
May 30, 2013

If you’re like most advisors, plan growth is one of your highest priorities. However, for many, growing a business is an elusive dream or a worst nightmare. The typical advisor spends very little time on outreach, relying instead on referrals or direct-to-plan-sponsor marketing. Ken Haman writes that this “brute force” marketing worked in the past, but plan sponsors have become increasingly unresponsive to it.

Teach Your Client Not to Trust His Gut

Ken Haman
May 17, 2013

As advisors, we work in a disciplined world of risk management and probabilities, while our clients rely on feelings and “gut” decisions all day long. We shouldn’t take our discipline for granted. We need to remember the vulnerabilities that lurk in the hard-wiring of the human central nervous system.

Index Envy

Gary Stroik
April 30, 2013

Now that the S&P 500 is back in the news for hitting a new high, investors appear to be ready to start putting money back into stocks again. Still, Gary Stroik wonders if the timing of this new-found enthusiasm isn’t a bit instructive.

Finding the Silver Bullet to Expand Your Practice

Matt Matrisian
April 25, 2013

Although client referrals are the single biggest driver of new business, only 20% of advisors ask for referrals systematically. Worse, a majority indicate that they can address referrals only occasionally in client meetings. Matt Matrisian writes that advisors need to focus on reinforcing referral behavior in their client base to generate real growth.

3 Step Process for Client Referrals

Matt Matrisian
April 18, 2013

By handling referrals in a simply, systematic and disciplined way, advisors can promote meaningful growth at a limited cost, according to Matt Matrisian.

Attracting Female Clients: The Dos and Don’ts of Female-Friendly Marketing

Kathleen Burns Kingsbury
January 20, 2013

Many financial service firms are targeting women as their economic power increases. The best way to market your practice to any demographic is by providing high-quality services. However, it is also prudent to have a marketing strategy that speaks to your ideal clients and clearly articulates how these clients can benefit from hiring your firm.

Tax Deal a Game Changer for Estate Planning

Martin Shenkman
January 7, 2013

The impact of last week’s tax accord in Congress -- officially known as the American Tax Relief Act of 2012 -- is likely to be far wider and more complex than many have imagined. And many of these complexities will directly impact financial advisors.

Client Care and Advisor Stereotypes

Ned Van Riper
September 18, 2012

We have been inundated with conversation recently around the ongoing debate of suitability versus fiduciary care for clients. This debate comes down to the "advisor" against the "broker" and vice versa. FINRA and the SEC. In almost every article and conversation on this topic I conclude that there is a clear lack of understanding of how the "other" is serving their clients.
The August Issue is now online!


Industry Events

September 30, 2015 | Hilton Niagra Falls, Niagra Falls, On.

November 3, 2015 | The Broadmoor Hotel in Colorado Springs, Colorado

November 4, 2015 | New York Hilton Midtown, New York, NY

November 12, 2015 | Salt Lake City, Utah

February 10, 2016 | Marriott Harbor Beach Resort, Ft. Lauderdale, Fla.

Already a subscriber? Log in here