Financial and investment blogs from the staff writers of WealthManagement.com.
What's Intelligent Advisor?
The quick hits of information you need to make you a smarter wealth manager.
What's Indie Advisor?
Indepedent Advisors Practices and Business.
What's Rulebook?
Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.
What's Yield of Dreams?
Casting a gimlet-eye on the independent broker/dealer channel and asset management issues.
Most Recent Blog Posts
Following last week’s announcement easing requirements to its certification process, the Certified Financial Planner Board of Standards hired a former Holland & Knight partner in the newly formed role of general counsel.
Leo Rydzewski, CFP Board...
The Securities and Exchange Commission released 15 tips to help first-time investors make better decisions in the year ahead. Number one on the list? “Always check the background of an investment professional – it is easy and free.” The regulator...
RCS Capital (RCAP) said Monday that its wholesale broker/dealer businesses, including Realty Capital Securities, SC Distributors and The Hatteras Funds, raised $270 million in December, up from $260 million raised in November. The unit raised $9.7...
In an effort to distinguish new ETFs from existing ones, some issuers are getting downright goofy with their tickers. The Australians seem to take the cake, with the ProShares Ultra Australian Dollar ETF trading under “GDAY,” the ProShares Ultr...
The Best of 2014
TimArbaev/iStock/Thinkstock
2014 was the year of the robo-advisor and retirement security, according to Lauren Foster on the CFA Institute's Enterprising Investor blog. Foster said that looking forward to 2015, two broad th...
Copyright Win McNamee, Getty Images
A poll conducted by the Wall Street Journal’s Risk and Compliance Bureau found that Securities and Exchange Commission Chair Mary Jo White was the most feared regulator of 2014, just beating out Benjamin L...
Brokers have long been able to continue selling insurance after being barred or suspended from the securities industry—at least until insurance regulators got wind of it. But it looks as though they may get wind of it even sooner. The Financial I...
Corralling clients to do what you want - and what's in their best interest - is easier said than done. That's why financial advisors need to act as behavioral coaches with investors to get them through some of those tough times. Vanguard Investme...
Despite constant and vocal grumbling, national brokerage and wirehouse advisors have steadily increased their satisfaction ratings of firms’ compliance programs.
“I am terribly disappointed in the overwhelming compliance mandates that are being ...
David Tepper, the founder of Appaloose Management who topped Institutional Investor’s annual “Rich List” in 2013 by earning $3.5 billion, warned that 2015 is shaping up to look a whole lot like 1999, the year that the dotcom tech bubble caused ...
