RIA Edge: Strategic RIA Growth With Stan Gregor

Oct 27, 2021

Summit Financial's Stan Gregor offers advice on how other firms can create scalable, repeatable growth strategies and transform their practices into truly unique advice platforms.

Wealthies Circle Podcast: Lon Dolber on Staying Independent as an Independent Broker/Dealer

Oct 26, 2021

American Portfolios' Lon Dolber talks about the firm's laser focus on service for his affiliated advisors, a shared ownership model and a reluctance to pursue outside investors or growth through acquiring or being acquired.

SEC: Colorado Advisor Defrauded Investors While Raising $3.2 Million

Oct 26, 2021

According to the commission, as founder and owner of AMV Investments, Ann M. Vick made 'Ponzi-like payments' to cover promised returns for investors.

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Jan 05, 2022

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DOL Delays Fiduciary Rule Enforcement to 2022

Oct 25, 2021

The Labor Department announced it would not pursue claims against fiduciaries acting 'diligently and in good faith' to comply with the rule through Jan. 31, 2022, and it would not enforce rollover requirements through the end of June.

You Get What You Give: Why Advisors Are Losing the Race for Talent

Oct 22, 2021

As the war for talent rages on across the country, how companies treat their employees will determine the winners.

SEC Fines Syracuse Firm For Failing to File Form CRS

Oct 21, 2021

One securities attorney said SEC staff will likely continue identifying firms that did not file and deliver their disclosure forms on time, saying it was the “lowest-hanging fruit” of CRS-related enforcement actions.

Schwab Regulatory Expert Predicts DOL Will Revisit Defining ‘Fiduciary’ in 2022

Oct 21, 2021

Michael Townsend, Schwab’s managing director of legislative and regulatory affairs, also discussed SEC exam priorities, and the latest developments in D.C. for the estate and capital gains tax rates during a presentation at Schwab’s IMPACT...