Matt Barthel

Insurance and the Generation Gap
Those searching for evidence of the brokerage industry's progress towards true wealth management need look no further than registered reps' evolving attitudes
RIAs in Flux
The pioneering ways of registered investment advisors (RIAs) are coming back to bite them, according to a report from Cerulli Associates. Once on the
The Ten to Watch 2005: Learning to Live With the New Normal
IT TOOK SOME TIME, but the brokerage industry finally is coming to terms with the death in the family. In this case, the dear departed is a way of operating
Reinventing the Branch Manager
The branch office manager of yore is dying. The do-it-all BOM the guy who would mentor an office's young bucks, auditing their tickets and their client
What 3012 Hath Wrought
When the NASD released follow-up guidance on Conduct Rule 3012 in April, it aimed to clarify how member firms must supervise the personal business of
What Lies Beneath
In 1992, with Europe buried in a deep recession, Charles de Vaulx was digging through the rubble, looking, as always, for value. One day, while poring
A Cross to Bear
The one-stop financial shop is still, after all this talk, the Promised Land. Management and even reps dream about cross selling, about grabbing more
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