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Investment Advisor
May 2007 |
The IA 25 This year's list of the 25 most influential individuals in and around the planning profession: Mary Shapiro... Rudy Adolf... Robert Arnott... Mark Tibergien... etc.   |
Investment Advisor
May 2010 |
Thirty for Thirty Our list of the 30 most influential individuals in and around the planning profession over the last three decades. |
Investment Advisor
May 2009 |
Game Changer Barack Obama tops the 2009 IA 25 -- our seventh annual list of the most influential people in and around the advisory profession. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
Investment Advisor
May 1, 2011 |
Follow the Leaders: The 2011 IA 25 Announcing the 2011 IA 25 - Fiduciary, behavior, retirement and much more |
Investment Advisor
January 2006
Kathleen M. McBride |
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients. |
Registered Rep.
March 16, 2012
Kristen French |
Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like. |
Registered Rep.
December 1, 2006
John Churchill |
Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners? |
Registered Rep.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
Investment Advisor
June 2007
Kathleen M. McBride |
Interesting Times Independent broker/dealers find opportunity in the face of changing winds. |
Investment Advisor
June 2006
Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. |
Investment Advisor
May 2007 |
Five Years of Excellence The names change as certain issues come to prominence and then recede, but even some very influential people in and around the Investment Advisor universe fail to crack the list. Amy Domini... Alan Greenspan... Eliot Spitzer... etc. |
Financial Advisor
December 2004 |
Frontline News Economics, Not Politics, To Challenge Bush Agenda... Moisand Named FPA President-Elect... Public Believes Rules Are The Same For RIAs, Brokers... Many Retirees Are Insecure About Finances, Says Study... etc. |
Financial Advisor
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
Financial Advisor
November 2009 |
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more... |
Investment Advisor
March 2006
Melanie Waddell |
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. |
Financial Advisor
September 2009 |
Frontline News News for the financial services industry: Regulations, Fiduciaries And Other Things... Breakaway Broker Trend Slowing?... Barney Frank Won't Push SRO For Advisors... CFP Board's Proposed New Education Standard... M&A Activity Down, But Not Out... more... |
Financial Advisor
May 2011
Andrew Gluck |
Finra Makes Its Move Who regulates financial advisors may shift. Here's a look at the positions various groups are taking on fiduciary standards. |
Investment Advisor
May 2007
Kathleen M. McBride |
Exemption Vacation "To be, or not to be?" a fiduciary is the question of the hour for broker/dealers. |
On Wall Street
June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more. |
Registered Rep.
May 1, 2007 |
The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it. |
Investment Advisor
September 2010
Melanie Waddell |
The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge. |
Financial Advisor
March 2006 |
Frontline News AST Trust Purchases Capital Trust Co. Of Delaware... Intuit Poised To Release PortfolioMinder... Financial Advisor Plans Top RIA Ranking... Morningstar Workstation Available At TD Ameritrade... Rule Is `First Step'... etc. |
Financial Planning
March 1, 2011
Larry Light |
The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals. |
Financial Advisor
July 2008 |
Frontline News News of interest to the financial community: CFP Board's New Conduct Standards... SEC Examining More RIAs... Advisors Await Word On New Privacy Regulations... First Western Buys Fourth RIA Firm, Doubles Size...etc. |
Financial Advisor
November 2008 |
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc. |
Financial Advisor
May 2005
Lavine & Liberman |
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed. |
Registered Rep.
February 1, 2006
Kristen French |
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so. |
Investment Advisor
August 2010
Melanie Waddell |
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas. |
Financial Advisor
June 2011
Bruce W. Fraser |
Rebuilding Trust - Part 2 Six leaders in the wealth management continue their discussion of the advisory industry and how new rules and regulations will impact it. |
On Wall Street
July 1, 2009
Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own. |
On Wall Street
January 1, 2013
Elizabeth Wine |
10 Power Players for 2013 On Wall Street profiles the most influential personalities in the advisory industry this year. |
Registered Rep.
August 1, 2006 |
Ten To Watch 2006 The Innovator: Rob Arnott, Chairman, Research Affiliates... The Manufacturer: Larry Fink, Chairman and CEO, BlackRock... The Watchdog: Mary Schapiro, Chairman and CEO of NASD... etc. |
Investment Advisor
May 2007
Melanie Waddell |
Victory for the FPA The U.S. Court of Appeals for the D.C. Circuit overturned the SEC's Merrill rule. |
Financial Advisor
January 2006
Tracey Longo |
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee. |
Financial Planning
January 5, 2008 |
Movers & Shakers 08 Here are the people who are staged to play a role in the upcoming transitions within the financial planning industry. |
Financial Advisor
October 2011 |
Frontline News Independent Advisors On The Rise... Uncertain Times For BofA Advisors... Gen Y Good Target For Advisors... etc. |
Registered Rep.
June 19, 2012
Diana Britton |
Whose Suitability Standards? In early 2011, the SEC completed a study, mandated under Dodd-Frank reform legislation, which recommended extending to brokers who advise retail clients the same fiduciary standard that now applies to investment advisors. |
Financial Advisor
June 2007 |
Frontline News SEC Won't Appeal Court Decision... Fidelity Offering For RIAs... 12(b)-1 Fees, Advisors' Growing Role, Are Focus At ICI Fund Conference... etc. |
Investment Advisor
November 2006 |
Now and Then When it comes to plowing through the complexities that are associated with retirement planning, advisors need all the help they can get. Fidelity looks ahead to dominate retirement planning now. |
Financial Planning
February 1, 2008
Bob Veres |
Death by Regulation The financial planning profession is about to fight for its survival against well-funded opponents. Here are some possible outcomes. |
Financial Advisor
May 2006
Andrew Gluck |
New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements. |
Financial Advisor
October 2007 |
Frontline News Congress Grills "Senior" Advisor Designations... Live Long And Prosper... Fidelity Planning Income Annuity... Mansueto To Receive Award... Fiduciary Network Buys Brightworth Stake... etc. |
Financial Advisor
July 2011
Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. |
Financial Advisor
September 2011 |
Frontline News Laboring Over A Fiduciary Standard... Advisory/Brokerage Industry Still Climbing Out Of Meltdown Wreckage... Compliance Hot Spots... etc. |
Investment Advisor
September 2009
Bob Clark |
Clark at Large: These Guys Are Good Did you ever get the haunting feeling that something was going too well? That's how I'm starting to feel about the reregulation of the advisory world, which is part of the Obama Administration's overhaul of the financial services industry. |
Investment Advisor
July 2007
Melanie Waddell |
Protect Yourself It's an annoying but necessary task: here's the latest intelligence on how to guard your financial practice from both the regulators and your clients. |
| Financial Advisor |
Frontline News News of interest to advisors: Clients want insured investments... Francais succeeds Kochis as Aspiriant CEO... Financial Planning Association's Top Lobbyist Stepping Down... New Web sites keep advisors honest... more... |
Financial Advisor
August 2006 |
Frontline News SEC To Research Broker Rule... The Affluent Reportedly Less Confident... Schwab Assets Boosted As Webcasts Reach Broker Converts... Space Station Vet To Speak... etc. |
Financial Advisor
December 2007
Sydney LeBlanc |
More Options, More Business Independent advisors recently got the opportunity of a lifetime -- the marriage made between fee-based advisory accounts and fiduciary accountability finally made headlines in the SEC repeal of Rule 202. |
