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Managing a Practice

Managing a Practice covers the ways that advisors can profitably and successfully run their businesses. It includes practical topics like business systems, advisor fees and client services, as well as professional development and growth strategies. Also covered are overall industry trends and ethics and compliance, as well the various service providers and vendors that advisors partner with to build, grow and manage their practices.

Managing a Practice

Managing a Practice

By Fred Barstein6/9/2014 • 0 Comments

There’s a new leader in 401(k) AUM. According to InvestmentNews, Vanguard took a slight edge over Fidelity at the end of 2013 by barely $1 billion. Vanguard now has $613.5 billion in AUM, compared with $612.4 billion for its Boston rival. Driven in part by market gains last year but also by the move to lower-cost passive investments, Vanguard enjoyed 28% growth in 401(k) assets compared with 17% for Fidelity. Fidelity still leads all others in 401(k) assets record kept at $1.2 trillion. 

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By John Adams6/9/2014 • 0 Comments

MassMutual’s Retirement Services Division maintained record high scores for satisfaction among employers that sponsor retirement plans, even during their acquisition of The Hartford’s Retirement Plans Group, according to the 2013 Plan Sponsor Satisfaction and Loyalty study conducted by Chatham Partners.  

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By Fred Barstein6/6/2014 • 0 Comments

Is the IRA market about to explode? Cerulli, using data on contribution habits of pre-retirees from DC plans, predicts massive outflows in their Evolution of the Retirement Investor 2013 report. But there are many reasons to be skeptical.

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By John Adams6/6/2014 • 0 Comments

For the first time in the same calendar year, Pershing is launching new versions of all its major platforms, including NetX360, NetX360 Mobile, NetXInvestor and NetXInvestor Mobile, as well as new versions of Albridge Wealth Reporting and a new Managed Investments portal integrated into NetX360.

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By John Ortman6/6/2014 • 0 Comments

Recently, the Leadership Center for Investment Stewards, led by Don Trone, completed research into the 10 attributes that are shared by highly effective leaders and decision makers — with an eye out for attributes that are common to both groups.

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By John Iekel6/6/2014 • 0 Comments

Most plan sponsors trust the advisors whose services they seek and secure. But the price of that confidence is an expectation that those advisors will work aggressively on behalf of participants. Those are among the results of a study by Brightwork Partners LLC for the Principal Financial Group. 

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By John Ortman6/6/2014 • 0 Comments

In today’s entertainment-drenched culture, it seems that we’re inundated by make-believe heroes — Iron Man, X-Men, Avengers, Spider-Man, etc. Amid all the pop culture racket, it’s important to remember a vital truth that too many of us ignore: that real heroes are living among us, and we must not lose sight of them. They are are our own fathers and grandfathers. 

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By John Adams6/6/2014 • 0 Comments

Sheri Fitts, president of ShoeFitts Marketing, will be featured in a new monthly webinar series sponsored by Smarsh about navigating the complexities and nuances of social media in the financial services marketplace.

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By Fred Barstein6/5/2014 • 0 Comments

Retirement policy has become such a hot topic that even the Queen of England is now chiming in. During this week’s speech at the annual State Opening of Parliament, the Queen echoed changes in the 2014 budget proposed by the Chancellor of the Exchequer affecting the UK’s DC plan policy. 

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By Jerry Bramlett6/5/2014 • 0 Comments

This week, RIABiz posted an article highlighting two trends in the 401(k) ETF-only space.

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By Fred Barstein6/5/2014 • 0 Comments

Back in the day, when Mary Meeker — dubbed the “Queen of the Net” as Morgan Stanley’s Internet analyst — talked, people listened. Now, working with venture capital firm Kleiner Perkins, she has some words of wisdom for financial advisors on top tech trends, as reported in ThinkAdvisor.

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By John Ortman6/3/2014 • 0 Comments

In a June 2 “Journal Reports” article that would be more at home in the left-leaning New York Times or Washington Post, the Wall Street Journal — once known as a conservative voice — delivered a liberal’s pipedream prescription for fixing what ails the 401(k). 

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By John Adams6/3/2014 • 0 Comments

This summer, LPL Financial anticipates the release of an upgrade to their newly released online retirement planning platform, Worksite Financial Solutions, which will give participants access to plan information on their mobile devices.  

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By Fred Barstein6/3/2014 • 0 Comments

At last month’s Executive Forum held by Fidelity’s National Financial group, which provides trading, clearing and custody services to broker dealers and RIAs, most executives described robo-advisors as a positive trend and one that’s here to stay. The group envisioned a blended model that is complementary and needed.  

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By Fred Barstein6/3/2014 • 0 Comments

Though 2013 was a banner year for the financial services industry in general and RIAs in particular, InvestmentNews reporter Mason Braswell predicts that this could be the calm before the storm, especially for middle tier firms with $100-$200 million of AUA. READ MORE

By Fred Barstein6/1/2014 • 0 Comments

One of the fastest growing models for advisors — especially plan advisors — is the “hybrid” model, where the advisor can function as both a registered rep under a BD or as an IAR under an RIA and have the ability to receive both commissions and fees. But then you have to decide whether to join your BD’s corporate RIA or an independent group, or create your own group. READ MORE

By Don Trone5/29/2014 • 1 Comments

How does that title grab you? Did it catch your attention? Make you smile? Think about all the plan sponsor meetings you’ve conducted where you have tried to teach trustees the multi-dimensions of a fiduciary standard of care. Didn’t get you anywhere, did it? READ MORE

By Fred Barstein5/27/2014 • 2 Comments

Last year, the CFP wiped out the compensation model for all certificants because of concerns about misinformation by some who checked the “fee-only” box when they should not have. So rather than have CFPs selectively make the change on their own, the CFP Board preferred a “redo” for everyone. Now, they have sent a letter to all 70,000 CFPs announcing a new investigation process to identify those who inaccurately disclosed their compensation model. READ MORE

By Fred Barstein5/14/2014 • 0 Comments

Wasting little time after the Cetera acquisition was approved, Nicholas Schorsch-led RCS Capital started the process of rationalizing the nine broker dealers it has acquired — which includes about 9,000 reps — by naming Larry Roth to lead the enterprise. READ MORE

By Fred Barstein5/5/2014 • 0 Comments

What distinguishes the top-performing advisory practices? In their annual study, Moss Adams and Investment News set out to identify which activities the top firms use more than others. Here are the seven habits that seem to stand out: READ MORE

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