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June 22, 2010




	In January the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 10-06 regarding social media Web sites to provide guidance to representatives and firms. How often do you use social media as a way to communicate with clients and prospects? A. Frequently B. Sometimes C. Rarely D. Never

THIS MONTH'S FEATURES

Target Marketing: Finding and Pursuing a Niche
John Van Leeuwen isn't a dentist, but he knows how they think. For about two decades, he's focused his investment practice on the dental community.

"It's fun to work with a homogeneous group of people so you're not starting from scratch every time you bring on a new client. You know what their needs are and you know what their challenges are," says Van Leeuwen, senior vice president and marketing director for the Partners Group, a Portland, Ore., employee benefits and investment firm. More

Beyond the Letters: A Guide to the Most Popular Industry Designations
One important aspect of career-building is which designation or designations to pursue. But how do you weed through the more than 250 designations available to financial advisors?

For starters, whatever you choose should give you the tools you need to better serve investors, increase your visibility with clients and prospects, and, hopefully, bring in more business. Another part of the thought process should be the amount of work involved in earning the designation. More

Advisor Corner

Transitioning Your Managed Account Business
If you're like many advisors, a good portion of your "book" may be in managed accounts. As such, when you're considering leaving to start an RIA or join one, it's critical to know how to properly prepare to transfer those assets. Employer firm restrictions on what constitutes an individual advisor's "book" are not uncommon; consider consulting with your legal counsel when preparing to move. In this issue we speak with Scott Egner of TD AMERITRADE Institutional's Managed Platform Solutions group to help us get more familiar with the process.

Step 1: Divide your book according to proprietary and non-proprietary assets.
When it comes to making a move to an independent RIA, fear of losing clients can be a concern. Indeed, according to the Advisor Evolution Study, conducted by Registered Rep and TD AMERITRADE Institutional in the fourth quarter of 2009, nearly half of the RIA respondents listed client loss as a top concern when changing firms. While some may fear that clients won't move their assets to their advisor's new firm—73 percent did—according to the first quarter 2010 Advisor Evolution Study. Nonetheless it is important to do all you can to facilitate an easy transition. More

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