Grace L. Williams

Getting over the mental block toward adoption is part of the challenge in keeping your practice tech-savvy, says Eric Kies, chief compliance officer at Moline, Ill.-based The Planning Center.

Inspired by his football coach to consider planning, Raymond James complex manager Tony Barrett has focused on team success and the inclusion of African American advisors.

A willingness to learn and adopt technology when it was still considered a fad helped John DiCiaccio refine ways to use it effectively in his practice.

Two planners were barred from the industry for allegedly employing "deceptive, fraudulent and manipulative devices and schemes," while another had converted, or taken, funds from a client's estate and trust.

Some advisors have already found ways to harness client information for their practice in a very targeted fashion.

Advisors use Facebook, LinkedIn, Twitter; some companies formulate official policies.

Ambition and training helped one veteran advisor learn to adopt financial planning tools, account aggregation software, video conferencing apps and tablets in his effort to create "a new client experience."

The publishing window for Form U5 disclosures will now be three days instead of 15; Changes take effect on Dec. 12.

The recruit had $1 million in annual production before leaving the wirehouse.

The biggest challenge with new digital tools is getting people to adopt them and do things differently, says the vice president of technology at Cleary Gull, a Milwaukee-based wealth manager.