Blogs

Mar 18, 2015

I am Going Independent and Want to Gain Media Exposure

In the midst of conducting at least 100 tasks to go independent, don't forget to put together some press releases and contact local media to gain awareness for your new found firm!....More
Jul 30, 2013

ERISA 2013 Trends - Increased Enforcement, Confusion, Fear, Backlash

As we move into the second half of 2013, let’s take a look at some of the meaningful trends as the new ERISA regulatory requirements take hold. •June 2011: Towers Watson study revealed the following top three items on plan sponsors’ minds for the next two years: 1.Regulatory compliance; 2.Investment volatility; and 3.Vendor service....More
Jun 11, 2012

Career Risk1

It's smart to know your limits. Sometimes "No" is the best answer....More
May 21, 2015

Savant Capital Picks Up Chicago-Area RIA

Savant Capital Management expanded its presence in the Chicago market and boosted its assets to nearly $4.5 billion with the recent acquisition of Orion Capital Management. Winnetka, Ill.-based Orion is a fee-only independent registered investment advisor with six employees and $150 million in assets under management. The move to join....More
Feb 13, 2015

House of CARDS: FINRA Overreaches Again1

FINRA is overstepping the boundaries with its CARDS proposal. The plan will only create risk of a data breach of customers' information and take the compliance function out of the hands of the firms....More
Jan 18, 2014

Top Insider Trades 1/17/14: MVC, SYRG, RHP, ACSF

Which stocks are getting attention from insiders?....More
May 27, 2015

Hearsay Social Launches 'Universal Supervision' Dashboard

Hearsay Social hopes its new dashboard will make it easier for compliance teams to review an advisor's social media and web content....More
May 22, 2015

The Law of Charitable Pledges

Conrad Teitell offers a comprehensive guide to the laws governing charitable pledges....More
May 21, 2015

Casady: Better DOL Rule Needs Only 'A Couple' Of Improvements

The head of LPL Financial praised the Department of Labor’s changes in its re-proposed fiduciary rule aimed at financial advisors, saying “just a couple of items to improve from here.”....More
May 28, 2015

Managers Who No Longer Eat Their Own Cooking

It can be reassuring when an investment manager has skin in the game—putting their own money into the fund they’re managing. Likewise, it is disconcerting to discover they pulled their money out....More
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