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
Worthwhile
Hightower CEO Elliot Weissbluth is profiled in this month’s Worth magazine, which also named him No. 91 on the publication’s list of the 100 most powerful people in finance, along with New York attorney general Preet Bharara (No. 1)...
Clients have their own needs and druthers. Sometimes it takes a triggering event before they will re-engage, or sometimes we just have to honor the cycle.
Broker/Dealer Liable for Inside Trades
The Securities and Exchange Commission charged Wells Fargo for failing to stop a broker from trading on insider information (the broker had previously been charged.) The broker traded on material non-public...
Nearly half of advisors (46 percent) gave their RIA firms a passing grade on their diversity programs, according to a recent Schwab Advisor Services survey of 571 advisors. Another third of advisors say they’re not sure what their firms’ diversit...
In response to FINRA's Comprehensive Automated Risk Data System (CARDS) proposal issued Tuesday, the Financial Services Institute has formed a task force of broker/dealer executives to analyze and respond to the regulator's planned...
It’s a seller’s market when it comes to the merger and acquisition activity around advisory practices. For every 10-15 deals an advisor looks at, one may turn serious, Paul Lally, president of Gladstone Associates, told attendees of...
I stumbled upon the Tiny Buddah site while looking for “ways to recharge yourself.” Tiny Buddha Founder Lori Deschene has created a nice list of ideas. I plucked four of my favorites out of her list and plan to focus on them for...
Many high-net-worth investors are increasing their exposure to alternative investments, but women more so than men.
Of high-net-worth investors already using alternative products, women have 27 percent of their assets allocated to non-traditiona...
According to the VIA Institute on Character: Personality is the sum total of our psychological makeup and how we uniquely express ourselves in the world. It is the pattern of emotional qualities, behaviors, thoughts, feelings, attitudes and habits...
