Blogs

Mar 26, 2015

Market Forces Driving Advisors Towards Riskier Portfolios

Due to low interest rates and stressed insurers, advisors are replacing variable annuities with dividend-paying equities as a retirement income strategy....More
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
Mar 19, 2015

Advisors Able to Work Through Brutal Winter, Thanks to the Cloud

The record breaking snowfall this year would have crippled wealth management firms 10 years ago, but new technology helps advisors maintain business as usual....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
Feb 23, 2015

IRS Won’t Rule List — Updated

Conrad Teitell highlights the updates to this year's IRS "Won't Rule" list....More
Mar 24, 2015

SEC Chair Supports Outside Examiners For RIAs

SEC Chair Mary Jo White told a congressional committee Tuesday she supported the idea of third-party examiners for RIAs to supplement, but not replace, those performed by her commission....More
Mar 27, 2015

Too Big to Fail?

Vanguard experienced net inflow of $219 billion into U.S. mutual funds and ETFs in 2014, and is predicted to command 20 percent of total industry assets by the end of 2015....More
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