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July 29, 2010
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Next Move Instant Poll
  According to a recent Cerulli report, advisors tend to look at UMAs like another product, rather than a better process. If you currently do not use these programs for your clients, what is the biggest reason why not?
1. I don't understand them.
2. I don't find them user-friendly.
3. I feel I can better serve my clients in other ways.
  
 
respond
 
 

THIS MONTH'S FEATURE

Making the Move, Keeping the Clients
If you're thinking about switching firms, consider this: Now's the perfect time to rid yourself of unprofitable clients and those who cause you to cringe every time their phone number pops up on your caller ID.

"You can only handle so many clients," says Justin Krane, president of Krane Financial Solutions LLC, Los Angeles, who used his move to an independent broker/dealer in 2008 as an opportunity to improve the quality of his book. More
 

Using Seminars to Build Your Book
Eileen Price and Lisa Miller have found chocolate is the way to a woman's heart—and her purse strings.

Instead of hosting lecture-type seminars to build their business, the two financial advisors with AXA Advisors, Syracuse, N.Y., have been successful doing something different and less intimidating. More
 

Advisor Corner

Transitioning client accounts
Transitioning client accounts is a big part of joining any new firm, particularly if you are starting your own registered investment advisor (RIA). But what do you really need to know to make the process as smooth as possible for you and as seamless as possible for clients? To help us learn more about what to expect from the account transition process, we spoke to Paul Surowiec, director of account services at TD AMERITRADE Institutional.

Q: What are some important questions to ask custodians about moving assets and transitioning clients before making a move?
Surowiec: When you're thinking about which custodian to use, it's important to find out from them what services they offer, how they'll work with you, are they focused on your needs, and how they can help you grow your business. It's also important to ask them specific questions about the transfer process such as what will the timeline be? What are the paperwork requirements? What assets can or cannot be transferred? You need to be comfortable working closely with any custodian you choose and it's important to make sure they have the services in place for a seamless transition. More
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