More in Blogs

  • Jul 28, 2014
    blog

    HighTower Adds $400M Washington RIA

    HighTower expanded its operations on the West Coast Monday with the addition of the team from Washington-based Triad Wealth Stewardship with $400 million in client assets....More
  • Jul 24, 2014
    blog

    Robo Advisor Assets Up 37%

    Robo advisor assets grew 37 percent in the last three months to a total of $15.7 billion, up from $11.5 billion at the end of March, a recent Corporate Insight report found....More
  • 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
  • Jun 24, 2014
    blog

    The Trend Is Your Friend—Until It Ends

    It's been 32 months without a market correction, compared to a historical average of 18 months. S&P Capital IQ's Sam Stovall says we're overdue for a decline of 10 to 20 percent. A bear market is another story......More
  • Jun 23, 2014
    blog

    FPA Pushes For Senate User-Fee Bill

    The Financial Planning Association is seeking to resurrect the concept of allowing the Securities Exchange Commission to collect fees to fund advisor exams....More
  • Jun 23, 2014
    blog

    HNW Investors Find It Harder to Unplug

    Ever think about leaving the smartphone, tablet and laptop at home while on vacation? Apparently, the richer a person is, the harder that is to do....More
  • 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
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