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DUE DILIGENCE: LaMothe Takes Swipe at BofA, Does 180 on Value of Bank-Brokerage Tie Ups  

Feb 16, 2012

By Kristen French

When Lyle LaMothe, former head of retail brokerage Merrill Lynch, stepped down suddenly last May after 20 years at the firm, there were plenty of questions about his departure. ...

Stifel’s Wealth Segment Offsets Decline in Institutional Business in 2011; FA Recruiting ‘Muted’  

Feb 16, 2012

By Diana Britton

Despite a bad year for its institutional group caused by the uncertain market environment, financial services firm Stifel Financial’s 2011 results were propped up by the stability in its global wealth management segment, which reported record net revenues of $908 million, a 7.7 percent jump over 2010. ...

VON ALDO: Schwab and Ameritrade’s Institutional Business Poised for Rebound, Says Bernstein  

Feb 16, 2012

By David Geracioti, Editor-in-Chief

Brad Hintz, of Bernstein Research, says Ameritrade and Schwab will need a while before their businesses really get cranking:...

Improving Communication Within a Team  

Feb 16, 2012

By Matt Oechsli

Minneapolis—“We’ve got to make a change in our support personnel,” John explained with a rather painful expression. “My personal assistant just isn’t capable of communicating clearly with the other players on the team.”...

More Advisors Fleeing Morgan Keegan  

Feb 15, 2012

By Diana Britton

Morgan Keegan has lost seven financial advisors since December, FINRA filings show. They follow some 190 other advisors who fled over the past six months, after corporate parent Regions Financial Corp. ...

RIA RISING: Author, Planner Carl Richards Trades Practice for Educator Role at Buckingham  

Feb 15, 2012

By Jerry Gleeson

In addition to his careers as a writer and financial planner, Carl Richards is adding a new position: “chief storyteller,” as he puts it. With the kind of story he has to tell, it’s a title that works....

REFORMED BROKER: Social Media - Can FAs Maintain Authenticity?  

Feb 15, 2012

By Joshua Brown

Financial advisors are feeling pressure to get on the social media bandwagon. But will canned content and compliance-approved writings drain the life out of a spontaneous, free-flowing medium?...

Mapping Your Social Network 

Feb 15, 2012

By Matt Oechsli

Elite advisors have turned mapping their affluent clients’ social network into an art form....

VON ALDO: Bullish Sentiment as Contrarian Indicator Explained  

Feb 14, 2012

By David Geracioti, Editor-in-Chief

Yesterday, I posted a story about the American Association of Individual Investors’ (AAII) market sentiment indicator turned bullish. ...

YIELD OF DREAMS: IBDs Biggest Competition Might Be a Custodian  

Feb 14, 2012

By Diana Britton

Forget the wirehouses, the regionals, or the insurance broker/dealers. Independent broker/dealers: your biggest competition may be a custodian....

The Art of Writing A Check 

Feb 14, 2012

By Anne Field

A carefully designed compensation model is key to a successfully run practice. Here’s how to make pay work for you instead of against you. ...

Raymond James Ramping Up Its RIA with New Leadership, Investment  

Feb 13, 2012

By Jerry Gleeson

Raymond James Financial said it is moving its registered investment advisor unit out of Raymond James Financial Services, its IBD division, and setting it up as a separate division with its own president. ...

DUE DILIGENCE: Obama Budget Showers SEC with Money, SRO Debate Still Strong  

Feb 13, 2012

By Kristen French

President Barack Obama issued a proposed budget Monday that would give the Securities Exchange Commission an 18.5 percent increase in funding in 2013, raising its total budget to $1.566 billion from this year’s $1.321 billion. But getting that through Congress will be another matter. Could it change the debate over switching in an SRO to oversee investment advisers?...

VON ALDO: Uh-Oh. AAII Market Retail Sentiment Poll Inches Across Optimism Line  

Feb 13, 2012

By David A. Geracioti, Editor-in-Chief

I was reading Michael Santoli’s column in Barron’s this week. Santoli makes an interesting observation. The American Association of Individual Investors poll — a gauge of retail investors’ market optimism/pessimissm — crossed into the bullish reading, with a score of 51.6% bullish against 20.2% bearish. Historically, this is bad news. ...

Searching for Yield  

Feb 13, 2012

By Stan Luxenberg

Since 2009, Build America bonds have given yield-starved investors a bit of hope for their fixed-income portfolios. These subsidized munis may continue to be good options, if you understand the risks....

Branch Managers Key to Team Building  

Feb 13, 2012

By Susan Konig

It’s no secret that many branch managers feel their firms now view them more as “costly overhead” rather than as talented coaches and leaders who can greatly benefit their firms’ bottom lines. ...

RIA RISING: How a Merrill Policy Sent an Advisor Down Independence Road  

Feb 10, 2012

By Jerry Gleeson

The partners at Merrill Lynch’s Beirne Wealth Management Group in Milford, Conn. had talked off and on over the years about leaving the wirehouse, John Beirne Jr. told me, but it took a new sales policy from the company headquarters last April to push the practice out the door....

VON ALDO: Earnings Momentum Is Fading; But Still Take a Bullish Stance  

Feb 10, 2012

By David A. Geracioti, Editor-in-Chief

Last week I attended the TD Ameritrade Institutional Annual Conference and was treated to a rousing, animated lecture by Prof. Jeremy Siegel of Wharton and WisdomTree ETF family. ...

YIELD OF DREAMS: Son Chronicles Battle With Father For Family’s Firm  

Feb 10, 2012

By Diana Britton

Family ties run deep, to a certain point. I recently came across a Supreme Court filing against Raymond James Financial Services and Dwight Wanken, a branch manager, that exemplifies the dangers of the family business....

REP READERS WRITE: The Credibility Gap Will Cost You  

Feb 10, 2012

By Sean Cunniff

Benjamin Franklin once said, “It takes many good deeds to build a good reputation, and only one bad one to lose it.”...

DUE DILIGENCE: Healing Your Portfolio with Energy Psychology!  

Feb 10, 2012

By Kristen French

What does energy have to do with money? Aside from your monthly electric bill, or the Exxon or PetroChina stocks you may have in your investment portfolio, you might think, not a whole lot. But Chicago wealth manager Julie Murphy Casserly would disagree....

Small Workplace Retirement Plans Spell Opportunity for RIAs 

Feb 10, 2012

By Mark Miller

The spoils of the 401(k) market have always gone to the large players – big retirement plan providers providing the best, most efficient plans to big plan sponsors. But small is starting to look beautiful....

RIA RISING: Employees Dig a Tad Deeper for 401(k) Contributions  

Feb 9, 2012

By Jerry Gleeson

Last year’s market volatility apparently didn’t discourage retirement savers from sticking to their plans, but it didn’t encourage more frugality either....

VON ALDO: Former Merrill Flunkie Dishes on the Advisory Biz  

Feb 9, 2012

By David A. Geracioti, Editor-in-Chief

The Occupy Wall Street movement may be on a winter hiatus, but not in The Nation — one of America’s oldest continuously published magazines. In its Feb. 13th edition, The Nation features a story by a former Marine and failed Merrill Lynch advisor who hammers, brutalizes, really, our country’s financial system....

REP. READERS WRITE: The Boondoggle Is Dead  

Feb 9, 2012

By Jodi Johnston

Free booze, five-star food and exotic locales: It’s no wonder some brokers are wistful for the annual conferences of old. The days of wine and roses are no more, but that doesn’t mean conferences have to be boring. With the right mix, you might actually get some work done. ...

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In This Issue: May 2012

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Advisors With HEART

Registered Rep.'s 32nd annual Altruism Awards.


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