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  • Dec 16, 2014
    blog

    Busted: Alts Manager Taken Away in Handcuffs

    Daniel Thibeault, a Harvard Business School graduate and president and chief investment officer of GL Capital Partners, was arrested last week and charged with securities fraud....More
  • Dec 16, 2014
    blog

    The Daily Brief: A Bullish Anniversary

    Twenty-five years ago Monday, New York sculptor Arturo Di Modica delivered "Charging Bull" to Wall Street, where it became an icon of investment prowess. It was not well received at the time....More
  • Dec 15, 2014
    blog

    The Daily Brief: Check Your Credentials

    If you're reading this, odds are you aren't the problem, but there are plenty of folks out there posing to be financial advisors and using a wide variety of defunct, outdated or nonexistant credentials to get their hands on other people's money....More
  • Dec 12, 2014
    blog

    The Daily Brief: What Retirement Crisis?

    There is no retirement crisis in America, writes Ramesh Ponnuru, for Bloomberg View. Instead, it's all a matter of how you decide to interpret the data....More
  • Dec 11, 2014
    Article

    Former SEC Chair Harvey Pitt Endorses Third Party Examiners for RIAs

    Every single investment advisory firm registered with the Securities and Exchange Commission should be examined every year, said Harvey Pitt, the former SEC commissioner, and the SEC should certify outside auditors to conduct the exams....More
  • Dec 11, 2014
    blog

    The Daily Brief: ETFs Aren’t As Cheap As You Think

    Exchange traded funds have been gaining market share from the mutual fund industry over the years, and much of that attention has been related to lower costs. But a new research report by Morningstar says many ETFs are not, in fact, cheaper than index mutual funds....More
  • Dec 10, 2014
    blog

    Mark Cuban vs. the SEC

    The only way to reform what ails the Securities and Exchange Commission is to “burn it down and start again,” says Mark Cuban, billionaire entrepreneur, host of the television show "Shark Tank," and the owner of the Dallas Mavericks....More
  • Dec 10, 2014
    blog

    The Daily Brief: UBS Turns to AI

    If you can’t be ‘em, join ‘em, as they say, and UBS is looking for new ways to use its collection of customer data to compete with new financial products coming from Silicon Valley companies....More
  • Dec 9, 2014
    blog

    SEC Examination Schedule Unlikely to Change. But Does It Need to?

    Is it enough to simply examine RIA firms on a limited scope basis? It was a lingering question after a session with the MarketCounsel executive team on Tuesday....More
  • Dec 9, 2014
    blog

    The Daily Brief: Is Coaching a Waste?

    When in need, call in the coaches… or not. Advisors who pay for coaching services are wasting their time and money, argues Russ Alan Prince, president of R.A. Prince & Associates on Forbes.com....More
  • Dec 8, 2014
    blog

    The Daily Brief: The Forgotten Generation?

    The sandwich generation, or Generation X, is not a focus for top players in the financial services industry, according to a recent Weber Shandwick report....More
  • Dec 5, 2014
    blog

    The Daily Brief: Merrill Compensation Cuts?

    Those Merrill Lynch compensation cuts for 2015 are real, and advisors, as expected, are not happy about them....More
  • Dec 4, 2014
    blog

    The Daily Brief: Fall of the Bond King

    Much has been written about Bill Gross and his departure from the firm he founded 40 years ago. Now, Bloomberg does a deep dive into the drama, interviewing 25 current and former employees and associates revealing new details....More
  • Dec 3, 2014
    blog

    The Daily Brief: Fidelity Brings LearnVest to Advisors

    Fidelity’s custody and clearing unit is teaming up with online advice platform LearnVest to help advisors “digitize their practices.”...More
  • Dec 2, 2014
    blog

    Fund Families On YouTube: What Works, And What Doesn't

    Some mutual fund companies are incorporating YouTube into their set of marketing tools, but is it an effective way to reach advisors?...More
  • Dec 2, 2014
    Article

    The Daily Brief: A Fantasy Investment 1

    With 33 million Americans now playing Fantasy Football, some estimate that the hobby costs employers $6.5 billion in revenue if employees spend just one hour a week on their teams....More
  • Dec 1, 2014
    blog

    The Daily Brief: Rally Anxiety

    The S&P 500 continued to reach record highs in November, leading many to speculate whether the market had rallied too much, too fast....More
  • Nov 28, 2014
    blog

    The Daily Brief: Black Friday Hype

    Black Friday hype is fading, and it's the retailers themselves who are bringing it down, Ad Week reports....More
  • Nov 27, 2014
    blog

    The Daily Brief: Talking Turkey

    Thanksgiving means sitting down with friends and family, breaking bread…and inevitably arguing about current events, religion and politics....More
  • Nov 26, 2014
    blog

    The Daily Brief: Suze Orman's Money Wars

    After 14 years and 621 episodes to date, CNBC announced that “The Suze Orman Show” will conclude on March 28, Variety is reporting....More
  • Nov 25, 2014
    blog

    The Daily Brief: The Cost of Thanksgiving

    It's costing us a little bit more for that turkey feast with all the fixins' this year, according to the American Farm Bureau Federation....More
  • Nov 24, 2014
    blog

    The Daily Brief: A Debt Owed to the Cowboys

    The Dallas Cowboys is suing financial advisor Dawn Bennett over claims that she hasn’t paid $500,000 for a luxury suit she leased, according to WFAA.com....More
  • Nov 21, 2014
    blog

    Dawn Bennett: Dallas Cowboys Lawsuit 'Should Never Have Been Filed'

    In a statement from her spokesperson, Dawn Bennett said the Dallas Cowboys were retracting their $7.3 million lawsuit and said it "never should have been filed."...More
  • Nov 21, 2014
    blog

    The Daily Brief: Invest Like a Billionaire

    Go big on health care and short on energy stocks, according to the latest iBillionaire Index....More
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