Client Servicing

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  1. Articles

    What the Pimco saga can teach advisers

    Due diligence on funds requires blending performance data with professional judgment

  2. Articles

    It's time for real industry action on diversity

    Recruiting more minorities into the advice industry is the right thing to do from a moral standpoint, but it's also good for business.

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    Advisers must move technology training to the front burner

    When you put together your 2015 technology budget, be sure there's a line item in there for training.

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    Embracing two routes to growth helps draw in assets

    Modera Wealth Management has spread out business development responsibilities to all advisers and wealth managers, not just owners.

  3. Articles

    Merrill Lynch loses two advisers with combined $2.1 billion in California

    One goes to Stifel, the other to UBS. Both had ties to Merrill's elite private banking and investment group that serves ultra-wealthy clients.

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    What top firms do differently with adviser technology

    Answering the question: What practice-oriented features affect firm performance most?

  5. Articles

    Using your imagination to help you move your book to a new firm

    Techniques that can assist you in transferring client assets with more confidence and serenity.

  6. Articles

    A road map for navigating the changing financial planning landscape

    Cetera's CEO's deep dive into one of the defining challenges – and opportunities – for the advice industry over the next 10 years.

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    Financial scams hit a new low via adviser's Ponzi scheme on his mom

    Start the week off with Breakfast with Benjamin, featuring an adviser pulling a Ponzi scheme on his own mother. Plus: JPMorgan settles with mineral-rights owners, becoming a 'financial catch,' and using dividend stocks to be like Warren Buffett.

  8. Articles

    Mixing tax time and the holidays

    Financial advisers should be urging their higher-income clients to come in for tax planning sessions.

  9. Articles

    Client protection ruse needs to stop

    Advisers should demand that industry organizations speaking for them don't let greed overshadow their true mission to help people live sound financial lives.

  10. Articles

    Finra expected to adopt CARDS despite vocal industry resistance

    Opponents like SIFMA and FSI remain wary of the potential costs, customer data security, but Finra asserts that CARDS will help investors.

  11. Articles

    Tony Robbins wants to be the new voice for independent advisers

    Tony Robbins wants to be a champion for RIAs, bringing the inspirational advice he's given to entrepreneurs and CEOs to advisers working to build their businesses. (Also: Tony Robbins' 7 steps to financial freedom)

  12. Articles

    What investors really want, need

    New book highlights behavioral finance aspects of resolving conflicts, achieving goals

  13. Articles

    Using technology to change clients who don't want to know anything

    Three steps to take to help clients understand their financial situation and investment strategy options.