Jerry Gleeson

SEC Extends State Oversight Deadline
Mid-sized RIAs who are behind on switching their registrations from federal to state jurisdictions have until Dec. 17 to get caught up.
The Odd Couple: Advisors and Accountants 2
Mergers between advisors and accountants are often seen as marriages of mutual interest, but don’t kid yourself. Industry experts say there’s a Mars-and-Venus quality to the partnerships that makes success difficult.
Desperately Seeking Financing
Obtaining financing to purchase an advisory practice is an undertaking fraught with frustration. Here’s how some advisors did it.
60 Seconds with Ruediger “Rudy” Adolf
Ruediger “Rudy” Adolf, founder and chief executive, Focus Financial Partners.
Blotter: September 2012
A former ESPN commentator and college football Hall of Fame coach and his colleague defrauded 97 investors in an $80 million Ponzi scheme...
Banking on Advice
Banks need to worry about their younger affluent clientele.
Devil Take the Hindmost
On the surface, it appeared to reflect the dictum that on Wall Street the best FAs get better and the lowliest FAs fall behind...and pay the consequences.
FPA Moved Quickly on CEO's Successor

Pressed to fill its CEO position more quickly than expected, the Financial Planning Association looked internally and went with Chief Operating Officer Lauren M. Schadle.

Be Still, Grasshopper
Feeling under the gun? Here’s how one advisor network helped its members to learn how to breathe again.
Facing RIA Trouble, Rhoades Quits NAPFA Board
Ron Rhoades’ decision to step down as chair-elect of NAPFA may have been inevitable, some industry observers said Tuesday, even though they viewed the compliance error at his RIA that sparked the move as a relatively minor mistake.
Research Sees Bigger Payouts for CFP Advisors
For advisors pondering whether the certified financial planner designation is worth the time and expense to obtain, a new report by Aite Group in Boston suggests the answer is yes.
IBD Advisor Census Tumbles as Low Performers Struggle
The tougher realities facing financial advisors four years after the crash are taking a toll, new data from Cerulli Associates shows.
SEI Targets Bigger Advisors with New Tech Platform
The new technology platform at SEI Advisor Network has been a seven-year, $600 million project and is, according to MD Steve Onofrio, the only system for independents that integrates an investment platform and a custody platform. "The real win is keeping the advisor in the advisory business, not the technology business."
Failing at Succession?
Nearly 60 percent of advisors who are within five years of retiring expect to sell their business to an unidentified buyer. Five years is not enough time.
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