More in Blogs

  • Jun 20, 2014
    Article

    RIAs Worry Over Aging Clients & Robo Advice

    Independent advisors are facing a myriad of challenges to their business, including emerging competition from “robo advisors” and an aging client population....More
  • Jun 19, 2014
    blog

    Smart Beta: Just a Fancy Marketing Term?

    Portfolio Solutions’ Rick Ferri says, “Nothing fails like success on Wall Street.” Are smart beta strategies simply the flavor of the day?...More
  • Jun 18, 2014
    blog

    Coming Home: Exec Returns to Merrill to Run Affluent Strategy

    Bank of America Merrill Lynch lured former BlackRock executive Mike Bitterly out of retirement to head up the firm’s affluent segment and strategy...More
  • Jun 17, 2014
    blog

    The Blotter Report: When the Jig is Up

    A New York investment advisor's luck runs out when the SEC claims the firm is raiding client funds to pay for vacation homes and luxury items. Meanwhile a judge sends an Ohio advisor to jail for 18 months for attempting to scam the NBA player's union....More
  • Jun 12, 2014
    blog

    FSI Skeptical About FINRA BrokerCheck Rule Feasibility

    Will FINRA’s proposed rule requiring firms to link to BrokerCheck records increase investor awareness? The Financial Services Institute remains unconvinced, contending the regulator needs to perform a cost-benefit analysis and weigh alternative options....More
  • Jun 11, 2014
    blog

    Are You on Facebook? What If You Met Sean Parker’s Mother-in-Law?

    Tina Powell of Beacon Wealth Management recently ran into the mother-in-law of Sean Parker, Facebook’s co-founder. Good thing she’s on the social network....More
  • Jun 10, 2014
    blog

    IAA To SEC: No Third-Party SRO Exams

    Investment adviser advocates are on the offensive following SEC Commissioner Dan Gallagher’s bid to look at possibility of an SRO (self regulatory organization) for oversight of RIAs....More
  • Jun 10, 2014
    blog

    Saving Comes Second for Many Millennials

    With the bills piling up, almost half of millennials say they don’t have the funds to save for retirement right now. And over half believe they can’t afford a financial advisor to help them along the way....More
  • Jun 6, 2014
    Article

    Old School Client Paperwork a Problem

    Only three out of ten advisors believe their client onboarding is excellent. And with many firms still working with piles of paperwork that clients need to sign, it's no wonder....More
  • Jun 5, 2014
    blog

    Change Starts at Home: Tibergien Challenges Advisors to Leave Legacy

    The crisis of confidence among investors and the lack of financial literacy in the U.S. today are linked. But instead of relying on large organizations or regulators to fix these problems, advisors can create change....More
  • Jun 5, 2014
    blog

    Time to Nix the ‘Alternative’ Label?

    Are liquid alternative products really all that revolutionary to investors today? When do these products become too mainstream for that label?...More
  • Jun 4, 2014
    blog

    Compliance is the Seat of Power & Responsibility

    Compliance officers take note: with great power comes great responsibility....More
  • Jun 2, 2014
    blog

    UBS Promotes Global Markets Deputy to Top CIO Spot

    Former global head of investment Mark Haefele will take over for Alexander Friedman as global Chief Investment Officer of UBS Wealth Management and UBS Wealth Management Americas....More
  • May 29, 2014
    blog

    Investing Trends: Cash, ETFs In; Annuities Out

    More advisors are investing in exchange traded funds and cash than they were eight years ago, while variable and fixed annuities are becoming less popular, according to an FPA survey....More
  • May 29, 2014
    blog

    Alleged Chicago Con Man Busted

    The owner of two Chicago-based investment advisory firms is facing civil and criminal charges on Wednesday after authorities allege he operated a long-running, $11 million Ponzi scheme....More
  • May 22, 2014
    blog

    Not Sold on Impact of Robo-Advisors

    Call them what you will—robo-advisors, asset-allocators—online advice platforms may provide valuable services for smaller investors, but Raymond James’ Scott Curtis isn’t sold on the idea that these sites will gobble up a major market share....More
  • May 20, 2014
    blog

    Raymond James Builds New Facilities to Protect Against Cyber Threats

    Raymond James isn’t kidding around about cyber security. The firm is spending $212 million a year on technology and part of that is earmarked toward protecting advisors and their clients from online threats, Scott Curtis told attendees at the firm’s annual conference. ...More
  • May 16, 2014
    blog

    The Blotter Report: Swindlers and Thieves

    A California man was forced to pay $22 million after the SEC caught up with him. Closer to home, a former advisor employed with Citigroup and First Allied landed in jail after his partying ways turned less-than-legal....More
  • May 14, 2014
    blog

    Looking for Less Risk Than Emerging Markets? Frontier Markets

    Frontier markets may be small, but they're less risky than emerging market countries because they don't correlate to each other, according to a portfolio manager at Envestnet's Advisor Summit....More
  • May 14, 2014
    blog

    SEC Commissioner Calls Flash Boys Thought-Provoking, But Misleading

    SEC commissioner Michael Piwowar called out Michael Lewis’ controversial book on high frequency trading Wednesday, saying that while Flash Boys has sparked thoughtful discussion, it’s misleading and factually inaccurate....More
  • May 8, 2014
    blog

    A Good Predictor of Market Performance? Look Up

    Current solar activity has reached a five-year peak. What does that mean for your clients’ investments? A lot, says a new paper published in the Journal of Financial Economics....More
  • May 8, 2014
    blog

    First Allied Lures New President from Advisor Group

    Independent broker/dealer First Allied Securities has hired Kevin Keefe, former head of Advisor Group's wealth management operations, to serve as its new president....More
  • May 8, 2014
    blog

    Performance Has Staying Power, Even Among Wealthy

    Good portfolio management is still the biggest reason clients stick with their financial advisor, even among the wealthiest investors....More
  • May 5, 2014
    blog

    Strong Certifications Matter to Investors

    It’s not enough to be a licensed financial advisor. In a new study, 62 percent of investors say it’s important or critical that their financial advisor holds a designation or certification above the minimum requirements....More
  • May 2, 2014
    blog

    The Commoditization of Investment Management

    A recent article by The Economist says the investment industry is becoming commoditized, due to the rise of index funds. But advisors: you’re just fine, for now....More
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