Affluent investor research cites that cold calling, direct mail, and public seminars have minimal to no impact with today’s affluent.  They don’t work.  Whereas 83% of today’s affluent tell us that they met their...

In April 2012, FINRA released Regulatory Notice 12-18, which features the Authority's proposed overhaul of the broker expungement process.  The overhaul applies primarily to brokers whom customers do not name as defendants to their...

The advisors we coach frequently ask us about finding business owners on LinkedIn.  In this blog, I’ll show you three simple ways to find current business owners and those who have sold their business.  The first two search tactics...

The 2013 Nobel Prize in Economic Sciences was shared by behavioral economist Robert Shiller, efficient market proponent Eugene Fama and Lars Peter Hansen, who occupies a sort of philosophical middle ground. The Nobel committee sent a strong...

Many people, including this blogger, have lived off trashing Wall Street since the financial crisis erupted 5½ years ago...

We all know that relationships are the core of our business.  They are the nucleus of our success.  And even though we intuitively understand this principle, oftentimes we don’t give these key relationships the attention they deserve. The days o...

The focus on special charitable-incentive tax laws that expire on Dec. 31, 2013 has been on tax-free distributions to charities from individual retirement accounts. Back reference. Tax-Free IRA Distributions to Charity...

FINRA rules require brokers to make extensive and often intrusive disclosures (vis-à-vis a broker's Central Registration Depository ("CRD") record) concerning their work and disciplinary histories.  These disclosures...

If you are like most of us, you’ve already joined a handful of LinkedIn groups.  When you created your account, you were eager to join these niche communities of people who shared a similar interest.   But you quickly started to become frustra...