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Investment Advisor
October 2007
K. McBride & K. Stapleton |
Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill.   |
Investment Advisor
February 2009
James J. Green |
Growth, and Advocacy A conversation with Diahann Lassus, NAPFA Chair, about NAPFA's growth, what the reaction will be in Washington to the Bernie Madoff scandal, and what NAPFA hopes to accomplish with the financial planning coalition. |
Investment Advisor
August 2005
Bob Clark |
Clark at Large: Why NAPFA Matters Can the future of financial planning really depend on folks who fudge their numbers? |
Financial Advisor
February 2006
Tracey Longo |
NAPFA: Holier Than Thou The chairwoman of the the small and once-feisty organization for fee-only financial advisors seeks balance between the group's rabble-rousing roots and concern for members. |
Financial Advisor
March 2012 |
So You Think You're A Financial Planner? A recent study from industry research firm Cerulli Associates looked at advisors across all channels and compared how they describe themselves with how they actually do business. |
Financial Advisor
July 2006
Tracey Longo |
Why Aren't There More Women? NAPFA's new women's roundtable plans to learn why more women aren't choosing the financial advisory profession. |
Investment Advisor
October 2009
James J. Green |
Catching Up With: Bill Baldwin A telephone interview with the editor-in-chief of this publication and the new chairman of NAPFA, Bill Baldwin. |
Financial Advisor
June 2012
Jim McConville |
Napfa Elects New Chair, Launches Web Sites The National Association of Personal Financial Advisors has tapped Ron Rhoades to succeed Susan John as chairman of the fee-only planners group. |
Investment Advisor
February 2009
Melanie Waddell |
Teaming Up for Change The National Association of Personal Financial Advisors, the Financial Planning Association, and the Certified Financial Planner Board of Standards -- which have joined forces to lobby Congress on financial services reform -- christen themselves the Financial Planning Coalition. |
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... |
Investment Advisor
July 2006 |
Group Think Starting July 1, NAPFA will launch its "Focus on Fiduciary" campaign... A recent member-wide survey of the FPA found that its members believe that financial planners should be held to a fiduciary standard.... etc. |
Investment Advisor
June 2007
James J. Green |
A Level Playing Field An interview with NAPFA's Dick Bellmer on the group's consumer education campaign on fiduciary standards. |
Investment Advisor
July 2010
Robert F. Keane |
"NAPFA Is Back," Says Group's Chair Fee-only planners gather in Chicago and announce new leadership |
Financial Advisor
July 2006 |
Frontline News FPA Members Support Fiduciary Standards... NAPFA Honors Bradley For Exemption Stance... Focused On The Top, Focus Grows Again... Planners Stay Happy Despite Earnings Decline... etc. |
Financial Advisor
November 2005
Tracey Longo |
The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule. |
Financial Planning
September 1, 2008
Stacy Schultz |
5 Questions with Diahann Lassus A short interview with Diahann Lassus, the new chair of NAPFA. |
Registered Rep.
January 20, 2011
Diana Britton |
Young Fee-Only Planners Get a Foot in the Door David Grant recognized a need to focus on fee-only careers for people in their 20s and early 30s in particular, as people in this age range were getting sidelined. |
Financial Advisor
February 2007
Roy Dilberto |
Establishing Trust In Financial Planning For large wirehouses, they need to understand that business is not leaving them and being transferred to independent advisors because of the fee structure. It is because most of these people are registered as investment advisors and follow the spirit as well as the letter of the fiduciary relationship. |
Investment Advisor
September 2005
Dan Danford |
The IA Soapbox: Sorry, Bob. They Still Don't Get it There is no such thing as incidental financial advice. Either financial planning is being done properly and in the sole interests of the client (as in fee-only) or it's just being used as a ploy to sell investment products. |
Financial Planning
October 1, 2006
Elizabeth O'Brien |
The Fiduciary Fracas Debate and controversy over the elusive standard could be just what the industry needs. |
Investment Advisor
August 2005 |
Letters: Who're You Calling Radical? Rebels Without a Cause... Not So Fatal Attraction... It'll Go To Our Head... |
Investment Advisor
November 2006
Bob Clark |
Name Game Advisors who want to benefit from the more favorable economics of working with fewer -- but higher net worth -- clients will increasingly need to position themselves as investment managers or wealth managers. |
Registered Rep.
May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model. |
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 2006
David J. Drucker |
Who Needs To Market? The question about marketing isn't just how, it's if. Not every advisor wants to market, nor do they need to market. The need depends on three things: your time in the profession, the rate of growth you desire (if any) and the way you practice. |
Financial Advisor
July 2011
Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. |
Financial Planning
October 2, 2007
Michael Dubis |
The Fiduciary Test As a financial planner, are you really on your clients' side? Ask yourself some of these tough questions. |
Registered Rep.
March 9, 2007
Christina Mucciolo |
What's In a Name? If You Are a Fiduciary, a Lot. But Are CFP Certificants Fiduciaries? Financial planners who hold the Certified Financial Planning designation have been tussling with the CFP Board, which controls the CFP designation, over the designation's ethical standards. |
Financial Advisor
March 2008
David J. Drucker |
Blueprint For Success Nowadays, an energetic financial planner can get up and running in three to five years. The industry has simply built a body of knowledge around starting an independent advisory firm and, independent planners have disseminated that knowledge freely. |
Financial Advisor
December 2006
Jeff Schlegel |
The Next Wave There is a quiet movement going on within the financial advisory industry: Young financial advisors imbued with a missionary-like zeal to spread the fee-only message are striking out on their own at a much earlier age than the prior generation. |
Investment Advisor
October 2009
Bob Clark |
Clark at Large: The Dog That Didn't Bark A fiduciary duty to all clients would be more immediate, widespread, and at least as beneficial as separate regulation of planners. |
Investment Advisor
August 2007
Bob Clark |
Genius, Pure Genius Fake studies with unsound data and faulty conclusions put people who are trying to do the right thing on the wrong track. The problem is that for over a hundred years, the financial services industry has gotten away with a fraud: acting like "advisors" but being compensated as salespeople. |
Financial Planning
August 1, 2009
Donna Mitchell |
Earnings Rebound Financial advisors are making more money, putting more emphasis on education, and shifting their compensation schemes toward fees |
The Motley Fool
November 27, 2006
Dan Caplinger |
Financial Planning Ethics With the increasing complexity of the financial world, it's increasingly important to find professionals you can trust. By choosing a financial planner who is governed by strict ethical principles and guidelines, you can feel more confident that you will get the advice and assistance you deserve. |
Investment Advisor
January 2010
Bob Clark |
Clark at Large: The Riddle of the CFP Board Have you ever wondered what those folks at the Certified Financial Planning Board are thinking? |
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? |
Financial Planning
January 5, 2008
Glenn G. Kautt |
Are You Certifiable? As regulators turn up the heat on the planning profession, can you meet the highest fiduciary standards available today? |
Financial Advisor
June 2005
David J. Drucker |
The Ethics Of Paying CPAs For Referrals Sure, financial advisors can pay CPAs for referrals, but is it right? |
Financial Planning
January 1, 2007 |
Movers & Shakers 2007 These eight leaders are shaping the future of the financial planning industry. Ben Coombs, industry founder and founder of Petra Financial Advisors... Aaron Coates, partner, CIO, CCO, Compass Wealth Advisors... etc. |
Registered Rep.
May 19, 2011
Diana Britton |
NAPFA Announces Rebranding Campaign, Plans to Become Leader in Financial Planning The fee-only business has evolved from what it was 10 years ago, and it was time for NAPFA to reflect that change in the business or it would risk becoming irrelevant. |
Financial Planning
October 1, 2010
Katherine Reynolds Lewis |
Study Harder New Dodd-Frank legislation kick-started two major initiatives that could transform the way financial advice is regulated and for the first time subject financial planning to explicit regulatory oversight. |
Investment Advisor
September 2005
Kathleen M. McBride |
Building a Brilliant Career Larry Barton of The American College offers words of wisdom on how to be a successful financial advisor. |
Investment Advisor
October 2010
Melanie Waddell |
Obama Calls for End to Some Bush-Era Tax Cuts; Fiduciary Lobbying Continues Some experts see a tax deal in early 2011 |
Registered Rep.
August 28, 2007
John Churchill |
SEC Principal Trade Proposal: A Stalling Tactic? A 2-year "interim rule" would allow large brokerage firms that also have many other business lines to meet their fiduciary obligations to customers while still engaging in principal trading activity -- selling customers products from their own inventory. |
The Motley Fool
April 20, 2009 |
5 Signs Your Financial Pro Isn't All That Shopping for a financial professional, or wondering whether the one you have is right for you? Consider the following five red flags. |
Financial Advisor
August 2010
Roy Diliberto |
An Elusive Profession Work still needs to be done so that clients, regulators and the media view and understand us for what we -- financial planners -- are. |
Investment Advisor
September 2010
Melanie Waddell |
Washington Watch: Industry Heeds SEC's Call for Comments SEC flooded with comments on fiduciary standard; 'fiduciary forum' on September 24. |
Investment Advisor
October 2009 |
GroupThink Professional association news: Charles Moran new chair-elect of the Certified Financial Planner Board of Standards' Board... The Financial Planning Association profession's 40th anniversary... The National Association of Personal Financial Advisors is continuing its 12-month program... |
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 Planning
June 1, 2008
Bob Veres |
The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners. |
