Practice Management

Practice Management focuses on how advisors can successfully and profitably run an advisory practice focusing on topics like client services, financial reporting, capital investments, hiring and managing people, integrating vendor partners as well as the nuts and bolts like insurance and risk management.

Practice Management

Practice Management

By Mike Bushnell4/1/2015 • 0 Comments

In the winter issue of NAPA Net the Magazine, David Levine explains how advisors have to do right by their clients while also staying on the right side of disclosure requirements. READ MORE

By Fred Barstein1/22/2015 • 0 Comments

Like the Cleveland Cavaliers, the newly minted Empower-Retirement has put together a dream team combining three stars that, on paper, seem to mesh well. READ MORE

By NAPA Net Staff1/2/2015 • 0 Comments

If you made a New Year’s resolution to be more efficient or to connect with clients more often, one way to get started is to invest in one of these simple tech gadgets.


By John Ortman9/4/2014 • 0 Comments

If the scheme being pushed by Rep. Maxine Waters (D-Calif.) and others to impose a new user fee to pay for an expansion of the SEC’s investment advisor exam program is adopted, the average annual cost per SEC-registered firm would be $27,013, RIA consultant RIA in a Box estimates. The total cost: around $310 million.

By Fred Barstein8/22/2014 • 0 Comments

The way an advisor looks at the world will determine the type of clients they attract, financial advisor blogger Michael Kitces notes on ThinkAdvisor. Kitces suggests that advisors who have an abundance mentality versus a scarcity mentality do better because they attract likeminded clients. 

By Nevin Adams8/21/2014 • 0 Comments

If you’ve been hiring, odds are you’ve stumbled across an embellishment or two. After all, a new CareerBuilder survey notes that 58% of hiring managers have caught a lie on a resume — and a third of these employers have seen an increase in resume embellishments post-recession.

By Fred Barstein8/20/2014 • 0 Comments

On the heels of the CFP’s ongoing debate about the definition of a “fee only” advisor and pending SEC and DOL rules on the definition of fiduciary, ThinkAdvisor editor-at-large Bob Clark raises the question of whether a fiduciary advisor can or should accept commissions. 

By Fred Barstein8/19/2014 • 0 Comments

Two weeks, two acquisitions. RCAP, the parent of soon-to-be 11 IBDs with almost 10,000 reps including Cetera, has acquired Girard Securities and VSR. 

By Nevin Adams8/19/2014 • 0 Comments

NFP reports that it has added 53 new advisors, all members of RPAG, one of the largest independent retirement plan consulting groups in the country. The announcement comes less than a month after NFP announced that 401(k)Advisors and RPAG have been integrated into NFP


By Jeffrey Hemker8/18/2014 • 0 Comments

I recently renewed my monthly contribution to one of my favorite charities — Reading Is Fundamental (RIF). As I was reviewing some of RIF’s great programs, it made me think about how important reading is to both plan sponsors and plan participants.


By John Adams8/14/2014 • 0 Comments

AllianceBernstein has announced the launch of AllianceBernstein Multi-Manager Select Retirement Funds, a multi-manager target date series to be co-managed with Morningstar Associates, LLC.


By John Adams8/13/2014 • 0 Comments

LPL Financial has launched its new Worksite Financial Solutions website, developed primarily to increase plan participants’ confidence in their financial future.


By NAPA Net Staff8/7/2014 • 0 Comments

The new Chief Operating Officer at Global Retirement Partners is Christopher Giles, the retirement plan consulting firm announced Aug. 6. Giles’ new role will be to broaden what Global Retirement Partners offers advisors regarding retirement plans, and also to define and execute strategic programs that will empower plan participants and increase value.


By John Ortman7/28/2014 • 0 Comments

Is there good reason to fear robo-advisors? While Vanguard is getting traction with their $13 billion Vanguard Personal Advisor Services, and Schwab is preparing to step up to the plate, so far most robo-advisor startups haven’t exactly made the case that they possess the knowledge or experience to make the grade when it comes to entrusting one’s nest egg to an accomplished professional.  READ MORE

By Fred Barstein7/28/2014 • 0 Comments

It has been reported that three 401(k)Advisors staffers joined Bill Chetney’s newly formed Global Retirement Partners OSJ, which is affiliated with LPL, late last week. Earlier this month, Chetney and LPL acquired Financial Telesis (FTI), which had been closely aligned with 401(k)Advisors and RPAG until NFP bought the two entities after having made an investment years ago. The latest transaction caused a rift with FTI, leading in part to the sale to LPL and Chetney. The groups are now fighting over the more than 400 advisors registered with FTI.  READ MORE

By Fred Barstein7/25/2014 • 0 Comments

Hundreds of millions of dollars are spent on supplying advisors and broker dealers with value-added services and tools for free by providers. But what’s their impact? A new study by Chatham, led by Josh Dietch in collaboration with Bruce Harrington and Greg Melton, set out to answer that question through surveys with advisors, DCIOs, record keepers and broker dealers. The study ranked the top providers and created a loyalty index. Though having value-add does create awareness and can differentiate a provider, generally it is most effective in opening doors and breaking a tie. READ MORE

By Fred Barstein7/24/2014 • 0 Comments

Claiming that he’s more hurt than angry with Financial Telesis founder Jim Williams for selling his firm to LPL, RPAG CEO Vince Giovinazzo said that his firm was scrambling to help RPAG members that are part of FTI during the transition.  READ MORE

By Fred Barstein7/23/2014 • 0 Comments

In another indication of how mainstream and important 401(k) plans have become, Bloomberg has jumped into the market, ranking the plans of the 250 largest companies. Using 2012 DOL data, reporters used various criteria to review what’s offered to new employees — including match, investments, vesting and auto-enrollment. Biotech and energy companies ranked at the top, while retail companies were at the bottom. Big surprise. READ MORE

By John Ortman7/18/2014 • 0 Comments

Joseph Dunbar has joined SageView Advisory Group’s not-for-profit team as an investment adviser based in the firm’s Boston office. He will focus on building out financial wellness strategies for current firm clients. READ MORE

By John Ortman7/15/2014 • 0 Comments

Are graft and fraud the next big thing for state pension plans? An industry segment already beset by massive underfunding, bankruptcy court proceedings and other litigation, politics and pension envy doesn’t need any more bad news. But that may be exactly what it gets.  READ MORE

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