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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.
Investment Advisor February 2010 Bob Clark	Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession.
Financial Advisor September 2012 Jeff Schlegel	Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.
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.
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.
On Wall Street June 1, 2013	Fiduciary Standard Debate Heats Up As federal regulators move ahead with a pair of rulemaking proceedings that could dramatically reshape the financial advisory industry, advocates of broader fiduciary responsibilities are urging advisors to make their voices heard in Washington.
Financial Advisor July 2007 Richard B. Wagner	Now What? With FPA's win in its lawsuit against the SEC, financial advisors need to reflect on what that means for the profession.
Investment Advisor October 2008 Angela Herbers	One Small (Big) Step The advisory industry has taken a giant leap forward in the past year. Attendees at this year's FPA NexGen conference clearly have made progress at getting small pieces of equity in their firms.
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.
Financial Planning September 1, 2008 Bob Veres	The Price of Going Pro Some financial advisors today believe that by striving to create a profession, they may actually be aiming too low.
Financial Advisor July 2004 Tracey Longo	Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors.
Financial Advisor October 2, 2009	Letters Great August issue... "Maybe MPT Isn't Dead"... "Transparency: A Model For Our Profession"... "Do Something!"...
Investment Advisor August 2006 Kathleen M. McBride	B/d Briefing: A New Regulatory Framework? In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors to conduct a study about how investments and advice are marketed to individual investors.
Registered Rep. December 4, 2012 Jerry Gleeson	Don't Fear Your Fees RIAs are loathe to increase rates, believing it alienates clients. But industry insiders say advisors have more juice than they suspect. Here's how to get a raise.
Registered Rep. September 3, 2009 Mindy Diamond	Talking To Clients About Breaking Away Here are some starting points for advisors to begin a conversation with clients about deciding to establish themselves as an RIA or joining an existing one.
Financial Advisor March 2012 Donald B. Trone	Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry.
Investment Advisor June 2007	Fiduciary First of All Letters to the editor: Doing the Fiduciary Wiggle... Corrections... etc.
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.
Investment Advisor March 2008 Kathleen M. McBride	A Fortified TD Ameritrade There's lots of support for the fiduciary advisor-client relationship at the newly strengthened TD Ameritrade.
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.
Investment Advisor May 2006	Making the Future Happen The 25 most influential people in and around the investment advisory profession: Ron Roge... Dick Averitt... Tony Batman... Ben Bernanke... etc.
Financial Advisor December 2011 Marie Swift	Executive Roundtable According to industry heavy hitters these are the next challenges and opportunities for advisors.
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.
Financial Advisor February 2011 Roy Diliberto	A Good Business Model The fiduciary standard is essential for financial planning to be embraced as a profession, yet examples abound of advisors who ignore it.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Financial Advisor March 2008 David Lawrence	A Higher Standard It is incumbent on all financial advisors to acknowledge their potential role as a fiduciary and act accordingly where and when applicable. So, that leads to a question of just what a fiduciary does during a typical day.
Investment Advisor May 2009	Soapbox: A Modest Proposal for Wealth Managers Advisors should adopt a financial version of the Hippocratic Oath.
Financial Advisor December 2009 David Lawrence	Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice.
Investment Advisor June 2009 Mark Tibergien	Formulas for Success: Clients Have Rights, But Also Responsibilities Advisors and their clients must alter their approach to future relationships.
Financial Advisor October 2010 Scott A. MacKillop	One Standard, Period The debate over the fiduciary standard should be about clients - and it would be over in a heartbeat if it were.
Financial Planning October 1, 2010 Marion Asnes	What's Next for Your Business A conversation with Tom Bradley, president of TD Ameritrade Institutional, about current challenges to advisors.
Investment Advisor May 1, 2011	Follow the Leaders: The 2011 IA 25 Announcing the 2011 IA 25 - Fiduciary, behavior, retirement and much more
On Wall Street July 1, 2010 Frances A. McMorris	Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate.
Financial Advisor December 2007 Richard B. Wagner	Claiming And Clarifying Our Turf The advice/sales conundrum in the financial field has taken another twist. Worse, it is no longer an intra-profession struggle but a direct conflict between industry and profession.
Investment Advisor June 2010 Angela Herbers	The Fast Track: American Standard Comp tables based on surveys of advisory firms won't help you find the right salary range for your firm if those firms are over- or underpaying.
Investment Advisor October 2007 Bob Clark	Difference of Opinion A debate about a major issue facing many advisory firms, namely, the conflicting interests they must wrestle with when deciding how to handle defecting advisors who leave the firm, taking clients with them.
Financial Planning July 1, 2010 Marion Asnes	Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken.
Financial Advisor May 2010 David J. Drucker	Help From Your Friends More advisors are signing on to advisor networks to fast-track their businesses.
Investment Advisor March 1, 2011 Kathleen Mcbride	SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators
Financial Advisor March 2012 Joni Youngwirth	When To Prune One can find good reasons to cut clients and good reasons not to. Advisors who do are typically happy they took action.
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 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 Planning March 1, 2010	What's Happening to Regulation? Whether we like it or not, we do live in a post-Madoff world, and it's impossible to separate his crimes from the dialogue surrounding regulatory reform.
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?
Financial Planning July 1, 2010 Marie Swift	What Have You Done For Me Lately? Do your clients understand the true value of what you do? Your best defense may be to make sure that you're articulating the value of the various services you perform.
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.
Registered Rep. October 28, 2015	TD Ameritrade Institutional: Helping a Diverse Industry Find a Common Voice TD Ameritrade Institutional has made it their mission to press for the kind of recognition and collective influence afforded other professional industries.
Financial Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
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.