Most Recent Blog Posts

Aug 22, 2011

FSC Taps Insider to Replace Schlafly

1,500-rep IBD FSC Securities has tapped Jerry Murphy to serve as its new president and CEO, replacing Mark Schlafly, who left the firm unexpectedly....More
Aug 19, 2011

Move Over Zuckerberg: Financial Services Firms Now Prefer Twitter Over Facebook

These days, y’all are using Twitter more than Facebook for your social media interactions, according to Corporate Insight. In 2008, 32 percent of the....More
Aug 19, 2011

First Allied to Spin Off From Advanced Equities

Independent broker/dealer First Allied Securities is reportedly discussing a spin-off from Advanced Equities, its parent company. The firm's execs,....More
Aug 18, 2011

Defensively Playing the Forgotten Asset Class

Mid-cap stocks are often referred to as the "forgotten asset class," with large-caps and small-caps getting all the attention. And now with the ....More
Aug 12, 2011

Stressed Over Fee Disclosure? Look to Service Providers for Templates

Starting April 1, 2012, advisors are going to have to disclose fees for their services to retirement plan sponsors, according to changes to the ERISA....More
Aug 09, 2011

LPL Opens NASDAQ on Historic Day in Stocks

I had the privilege of watching LPL Financial’s Chairman and CEO Mark Casady open the markets yesterday morning by ringing the NASDAQ opening bell,....More
Aug 05, 2011

Double-dip Recession? Market Corrections Aren't Unusual

After yesterday’s stock market plunge of 513, or 4.31 percent, for the Dow, and in the aftermath of the painful debate over our nation’s debt ceiling....More
Aug 02, 2011

Prudential Goes After the Independents

Prudential Investments, the mutual fund and separate account unit of Prudential Financial (NYSE: PRU), has historically been a pretty quiet contender....More
Jul 28, 2011

In Times of Uncertainty, Turn to ETFs

In times of economic uncertainty and turbulent times, investors have historically turned to exchange traded funds. It happened after the tech bubble....More
Jul 28, 2011

Ameriprise Sweeps Securities America Under the Rug

Looking at Ameriprise Financial's second quarter earnings report, released on the wires yesterday, you wouldn't even think the firm owned or had....More
Jul 26, 2011

Is the Free Pass on Social Media About to Expire?

Wealth management firms have not felt serious pressure to develop social networking applications, but that free pass is about to end, said Bill Doyle....More
Jul 21, 2011

BlackRock’s ETF Darling to Leave After Three Years

Deborah Fuhr, the darling of the ETF research sphere and managing director at BlackRock, will be leaving the firm, amid a restructuring of the firm’s....More
Jul 19, 2011

One Year Later, the Elusion of Dodd-Frank Continues

The Dodd-Frank Act was signed into law by President Obama one year ago this Thursday, but there’s no more clarity about the legislation’s impact on....More
Jul 13, 2011

Lunch with an IBD Leader

I was honored to sit down for lunch today with SagePoint Financial’s Jeff Auld, president and CEO of the independent broker/dealer that has been on....More
Jul 12, 2011

U.S. Asset Managers Bank on Europe

U.S. asset managers are making huge in-roads into the European market, according to a report released Monday by the Boston Consulting Group titled “....More
What's Yield of Dreams?

Casting a gimlet-eye on asset management issues.

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