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Investment Advisor May 2009 James J. Green	Catching Up With: Jeff Montgomery A conversation with the CEO of Al Frank Asset Management.
Investment Advisor November 2009 Bob Clark	Clark at Large: The Times They Are a Changin' A new risk consciousness among advisors and clients may be the silver lining to the market meltdown.
Investment Advisor May 2010 James J. Green	Editor's Note: Another Modest Proposal Investment advisors should consider getting involved with the advisory panel that will get to vet every new investment product before that product can be sold.
Investment Advisor September 2008 Bob Clark	Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice.
Financial Planning March 1, 2010 Donna Mitchell	Open Season NFP Securities says it will become the first independent broker-dealer to offer hybrid advisors a single platform with complete open architecture, empowering advisors to ally with any major custodian they choose.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Briefing News and Products Reports on FSI, Coordinated Capital Securities, American Portfolios, and more.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
Investment Advisor April 2009 James J. Green	Editor's Note: A New Focus Now that the shock is over, it's time to get new clients.
Registered Rep. November 16, 2012 Jerry Gleeson	Tardy Advisors Get a Reprieve Mid-sized RIAs who are behind on switching their registration from federal to state jurisdictions now have until Dec. 17 to get caught up.
Registered Rep. March 14, 2012 Jerry Gleeson	The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business.
Investment Advisor September 2006 Jeff Joseph	Hedge Fund Focus: RIAs Turning to Alternatives A more hands-on approach to investments is being taken by registered investment advisors, including the use of alternative products, according to a new survey.
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.
On Wall Street June 1, 2011 Carl Resnick	ETFs: The Ideal Asset Allocation Tool? True diversification has become the primary focus of smart advisors. To the benefit of these advisors and their clients, a wide range of well-built exchange-traded funds has emerged to represent just about every asset class available.
Investment Advisor June 2008	Changes People: Jeff Montgomery joins Al Frank Asset Management as CEO... Joby Gruber resigns FSC Securities and Advantage Capital and Larry Roth takes over his positions... Jeff Auld has resigned Berthel Fisher & Co... Gary Diffendaffer... Angela Biever...
Investment Advisor August 2010 Melanie Waddell	Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.
On Wall Street September 1, 2010 Aarti N. Maharaj	Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness.
Investment Advisor December 2008 James J. Green	The Failure of Asset Allocation Asset allocation can explain past market performance, but not predict which allocation will work in the future.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
Investment Advisor April 1, 2011 Thomas D. Giachetti	Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready?
Investment Advisor April 2009 Bob Clark	Clark at Large: Timing Is Everything Now that (nearly) all asset classes have sunk, advisors are rethinking their investment strategies.
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.
Investment Advisor September 2005 Kathleen M. McBride	But Are They a Good Deal? MFS asset allocation funds pass the three-year mark and get high ratings from S&P.
Registered Rep. June 29, 2010 Halah Touryalai	The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level.
Financial Advisor June 2009 Marla Brill	ETF Portfolios To Go ETF portfolio management services pitch to financial advisors.
Financial Planning July 1, 2010 Jeanne Lee	Reform Lite The 1,600-page financial reform bill passed by the Senate in May still doesn't do enough to enhance consumer protections for individual investors, some industry observers say.
Financial Planning November 1, 2009 Robert Pozen	Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.
On Wall Street February 1, 2013 Kenneth Corbin	Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year.
Registered Rep. June 30, 2010 Christina Mucciolo	Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Financial Planning March 1, 2013 Kenneth Corbin	SEC Registration Deadline Looms As annual registration nears, compliance experts warn RIAs to be cautious about their numbers.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Registered Rep. March 8, 2011 Diana Britton	IBDs Dress Up Offerings For Hybrids Independent broker-dealers have lately been ramping up their efforts to attract hybrid advisors.
Registered Rep. July 12, 2011 Charles Paikert	Family Office Quandary May Benefit Wealth Managers For single-family offices, a recent Securities and Exchange Commission ruling marked the beginning of an identity crisis writ large -- one that will reshape the family office business and may ultimately benefit wealth and asset managers.
Registered Rep. March 10, 2010 Jerry Gleeson	New RIA Custody Rules In Force Friday New rules aimed at preventing registered investment advisors from pulling off ponzi schemes are now in effect.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
Financial Advisor October 2012 Brian Hamburger	Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.
Investment Advisor July 2009 James J. Green	Danger & Opportunity: Taking the Really Long View A conversation with Robert Manning, CEO of MFS Investment Management.
Investment Advisor December 2009 James J. Green	The Back to Basics Cycle Challenging conventional wisdom is the mark of an engaged advisor who is never satisfied with the status quo.
Registered Rep. January 1, 2003 David A. Gaffen	Wachovia Software Emphasizes Goals Wachovia Securities wants advisors to know where their clients want to be, not just where they are now. The firm plans early this year to unveil a new software package for its advisors to help clients figure out their retirement goals and the appropriate investments to get them there.
Investment Advisor April 2006 Maya Ivanova	Self Improvement In the recent supplement to the 2005 Rydex AdvisorBenchmarking Survey, many advisors recognize that simply maintaining the status quo is not enough. They're continuously examining their business plans and investment processes to look for improvements.
Investment Advisor September 2010 Thomas D. Giachetti	The Compliance Coach: Will the SEC Ever Learn? Don't Count On It Get ready for new custody and ADV rules, and the $100 million threshold.
Registered Rep. September 16, 2011 Jerry Gleeson	RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors.
Investment Advisor February 2009	A New Benchmark for Advisors With many advisors using an asset allocation strategy, the S&P 500 is no longer a great benchmark against which to set your pace. Take a look at these new benchmarks.
Registered Rep. July 8, 2015 Jerry Gleeson	The New Sheriffs In 2012, more than 2,000 RIA firms who had only known the regulatory scrutiny of the Securities and Exchange Commission were transitioned over to the Wild West of state securities regulators.
Investment Advisor September 2008 Kara P. Stapleton	Catching up with... Steve Lundquist, recently appointed head of the Registered Investment Advisor channel for JPMorgan Funds, speaks about his business strategy.
Financial Advisor September 2007 David Lawrence	Efficient Rebalancing Whether you embrace traditional strategic allocation techniques or actively trading in and out of asset classes within an allocation, there is still a lot of work to do in managing portfolios and optimizing returns for clients within their risk constraints.
Investment Advisor May 2010 Melanie Waddell	Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind.
Financial Advisor November 2011 Evan Simonoff	What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation.
Registered Rep. July 11, 2011 Diana Britton	BCG: RIA Channel Poses Opportunity, Challenge for Asset Managers Given its size and growth, the registered investment advisor channel is a critical market for asset management firms who want to grow, but the fragmentation of the RIA market also poses a challenge for asset managers.
Financial Planning June 1, 2010 Brian Hamburger	Going for Custody As of March 12, new rules for RIAs require special (and expensive) reports and audits for custodial accounts. Are you ready?