21st Annual Advisor Report Card: Does your firm make the grade?
Sep 21, 2011
Dear Registered Rep. Reader...
Big-Time Rollups Continue; Focus Financial to Acquire Colony Group
Sep 20, 2011
Focus Financial Partners LLC in New York is one of the largest registered investment advisor aggregators in the country, but Chief Executive and founder Rudy Adolf likes to say that the company is not interested in turning entrepreneurs into...
New Podcast Series: Direct Investments in Hard Assets
New Podcast Series: Direct Investments in Hard Assets
Sep 20, 2011
Take a listen to our new podcast series on Direct Investments (investment in hard assets), featuring discussions of non-listed REITS, equipment leasing and oil and gas programs. The program features Executive Director Kevin Hogan interviewed by P...
Network Builders for New Advisors
Sep 20, 2011
Minneapolis: "You'd be really proud of me. I've sourced 15 names since our last meeting", Don told us during a coaching session."It's like I'm seeing the world through a whole new lens.I'm uncovering connections in every conversation.” ...
Private Equity Interest in RIAs Continues as Rosemont Buys into Westmount Asset Management
Sep 20, 2011
The private equity push into wealth management continued yesterday as Los Angeles-based Westmount Asset Management closed on its investment in Rosemont Investment Partners. Terms of the financing were undisclosed, but Rosemont, a private equity...
Breaking: DOL Will Repropose Its Fiduciary Rule
Sep 19, 2011
The Department of Labor announced Monday that it would reproprose its rule on the application of the fiduciary standard to retirement accounts. The announcement came after House Financial Services Committee ranking member Barney Frank sent a...
More Advisors Using, Prioritizing Social Media, Survey Says
Sep 19, 2011
Not only are more advisors using social media for business purposes, but more are making it a priority. According to a Socialware survey of nearly 150 FAs on their use of social networking sites, 40 percent of advisors said they’re making...
RIA Interest in Financial Planning Grows, Industry Data Suggest
RIA Interest in Financial Planning Grows, Industry Data Suggest
Sep 16, 2011
Financial planning activities are playing a growing role in the service offerings of registered investment advisors. An annual survey of the RIA industry by the Investment Adviser Association and National Regulatory Services shows that 41.4...
Investment Managers: Volatility Is Not a Dirty Word
Sep 15, 2011
Despite the market ups and downs we’ve been experiencing recently, investment managers say this is not the time to get out of the stock market. In fact, the key to stock picking in this environment is to not think of volatility as a bad word...
Schapiro: Republican SEC Reform Bills Could Hog Tie SEC
Sep 15, 2011
SEC Chairman Mary Schapiro said Thursday that legislation introduced by Republicans to restructure the agency and its rulemaking process would threaten the agency’s ability to write and enforce rules effectively. She also said that the SEC...
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