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  • Jul 10, 2014
    blog

    RIAs Focusing on Organic Growth

    RIAs are concentrating on building enduring, robust businesses through referrals, rather than mergers, according to a new study....More
  • Jul 9, 2014
    blog

    Families Avoiding the Tough Conversations

    Parents don’t want their children counting on future inheritances, while children don’t want to upset their parents. The result? One in three parents have not had detailed conversations with their adult children about their wills and estate plans....More
  • Jul 9, 2014
    blog

    The Blotter Report: Where Did it All Go Wrong? 1

    The evidence keeps piling up against a Long Island financial planner accused of stealing $1.6 million from charities and clients. Meanwhile FINRA banned a Los Angeles analyst for lying to investigators looking into an insider trading scheme....More
  • Jul 7, 2014
    blog

    RIAs Increase Compliance Staff, Training

    RIA firms continue to increase their investment in compliance, boosting the number of dedicated staff and overall employee training, according to a recent survey....More
  • Jun 27, 2014
    blog

    Bonds Aren’t Dead Yet. Here’s Why.

    A lot of smart people are betting on rising interest rates. But Dennis Gartman, editor of The Gartman Letter, says it’s a terrible, terrible bet. Here’s why bonds aren’t dead yet....More
  • Jun 27, 2014
    blog

    SEC May Lack Sufficient Data for Fidiciary Rule, Industry Groups Cry Foul

    A senior official with the Securities Exchange Commission told Congress Thursday the regulator may not have sufficient data to move ahead on fiduciary rulemaking, but industry groups aren’t buying it....More
  • Jun 26, 2014
    Commentary

    Arbitrator Rule Should Be Based on Data, Not Perception

    Don Runkle, former head of compliance for Raymond James and current director of consulting services at Edgerton & Weaver, speaks out against FINRA's changes to the arbitrator definitions....More

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