Staffing / Personnel

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  1. Articles

    Create a marketing calendar to keep your prospect pipeline full

    Planning a year in advance for communications, events, etc. helps advisers stay on track toward goals.

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    Wealthfront, Edelman clash on robo-advisers

    The old guard of wealth management clashed with the new as Ric Edelman delivered a bleak assessment of his peers' future during a spirited debate with Adam Nash, the top executive at Wealthfront.

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    Advisers in Northeast prep for blizzard, close offices

    After learning lessons from Superstorm Sandy, firms are planning ahead with staff and clients, expecting days of potential power outages and working remotely.

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    Taking over an adviser's book can be a risky venture

    It can prove tougher than many think to build trust and meld with someone else's clients.

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    Adviser pool continues to drain, losing 2% in 2013

    According to new data, adviser headcount fell by 1.9% in 2013, as about 5,500 advisers left the industry and were not replaced.

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    Cetera factor dampens M&A activity among independent broker-dealers

    The ongoing woes of Cetera's parent company, RCS Capital and inflated sale prices expected to deter deals among independent broker-dealers. (Plus: Don't miss our full 2015 Top IBD special report)

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    10 developments to watch in the independent broker-dealer industry in 2015

    Advisers and their independent broker-dealers saw movement last year in regulation, investment products, business strategies, retirement vehicles and more. Here are 10 of the hottest topics, which are sure to continue to evolve as the year unfolds.LPL strapped with compliance chargesLPL Financial,

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    It's about more than payouts

    Some broker-dealers have resources that help advisers create a bigger pie, not just boost their slice

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    Ohio State's Cardale Jones: 'No' to the NFL, 'yes' to financial planning

    Cardale Jones shocked college football fans this week by leading Ohio State University to the College Football Playoff National Championship after the team's first- and second-string quarterbacks were injured.He confounded expectations again Thursday when he announced he would stay in school and

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    A New Year's resolution that really works

    Every year starts with millions of resolutions that are often broken before Valentine's Day. However, there is one resolution that can significantly change your life and it's remarkably easy to put to work: I promise to make no new resolutions until I figure out how to make them stick.

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    Financial adviser rises in list of top jobs

    The advice business increasingly is a terrific profession, moving up 16 spots on the U.S. News & World Report list from last year. (Don't miss: The 10 best business jobs of 2015)

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    Merrill loses advisers managing $18.6 billion in 2014

    Wirehouse lost advisers managing $18.6 billion in 2014; veteran brokers blame Bank of America's 'fire first and ask questions later' mentality and expiration of retention deals. (See also: How wirehouses will strike back against breakaways)

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    How to evaluate and cope with the people who make mistakes

    For National Football League teams fighting for post-season positioning, every play seems important, every mistake magnified. Mistakes can be something everyone runs from or a catalyst for learning and growing. How do you handle them? Joe Duran on how to evaluate and cope with mistakes.

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    What's next for financial advice?

    We ask the experts to share what parts of the advice business they think need innovation

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    Put your plan in place today

    There's no reason for advisers to put off making continuity and succession plans, especially now that regulators are taking notice.