Practice management

Regulation should be strong enough to protect investors yet business-minded enough to promote active derivatives, mortgage and other markets, says Judd Gregg, a former New Hampshire lawmaker and new chief executive of the Securities Industry and Financial Markets Association.

Putting your clients and best prospects on a regular call cycle is an idea that is well known and well understood conceptually, however, for most advisors it remains a conceptual idea, not an executed one, according to Bill Cates.

Advisors can decide whether to promote their brand or their firm's brand by answering three questions.

Nomura Securities has begun using a mobile application for asset managers from Nomura Research Institute.

The network was launched in September to help breakaway brokers transition from the traditional wirehouse model to independence.

So called “value-add” programs and tools from vendors are getting the attention of financial advisors and influencing their behavior, according to a new study, but still leave much to be desired.

How to innovate when you're in a large, matrixed institution? "Hackathons" are part of the answer for Hari Gopalkrishnan, who leads retail mobile app development at Bank of America Merrill Lynch.

Could cyberattacks bring down the U.S. financial network? Chuck Hagel thinks it's possible. Shielding the U.S. against the destructive potential of digital threats is among the top priorities for the nation, the Defense Secretary said.

The way most bank advisors are asking for referrals from other professionals is fundamentally flawed. With a honed strategy of connecting with 'centers of influence', advisors could experience better results.

Taking the 80/20 rule-of-thumb to its logical conclusion, Robert Vingi and Howard Edwards at Wells Fargo are removing less lucrative clients from their business.

"A lot of potential clients are already banking [with Umpqua]. For us, the first priority is to make sure we let them know that we're there," Seattle market leader Elise Fortin said in a telephone interview.

Amid intense competition for high-net-worth clients, U.S. Bank's Private Client Reserve unit is ramping up its marketing efforts to differentiate itself from its rivals.

A run-down of the stories in this issue, including ahow top firms fared in wealth management, and a look at what new regulations mean for the industry.

Build a sharp online presence and social media strategy to help interact with clients.

How will clients react if their advisors' transition pay becomes public information?

Make an impact in the workplace without the CEO title.

Wealth management executives call for more accountability and a new approach to client relationships.

Advisors are urged to weigh in as a pair of rulemaking proceedings move forward this summer.

This year, the leading wirehouse and regional wealth management firms took the steps necessary to ensure they reap rewards as markets hit new highs.

Modern Portfolio Theory relies in part on the efficient frontier. But investors can now do better.