SEC Raises Performance Fee Threshold for Investment Advisers; CFA Backs Off Opposition to SRO
Jul 12, 2011
Under an SEC order issued today, it will require considerably more wealth or assets for an investor to qualify to pay an investment adviser performance fees. The higher thresholds, mandated by Dodd-Frank reform, are meant to take inflation into...
Wealthy Investors’ Expectations Return to “Normal”
Jul 12, 2011
FOX Survey Shows Growing Confidence in Economy and Financial Markets but Increased Conservatism in Investment Philosophy
About the Future of Those Social Security Benefits
Jul 12, 2011
The Social Security Administration sends a statement every year to workers that projects their future benefits. Financial planners look at those statements when they project future retirement income—but most are advising clients not to believe...
Some High-Profile Mutual Fund Managers Are on a Buyer’s Strike
Some High-Profile Mutual Fund Managers Are on a Buyer’s Strike
Jul 12, 2011
Like FPA, PIMCO’s star Bill Gross is wary of long-duration Treasuries
BCG: RIA Channel Poses Opportunity, Challenge for Asset Managers
BCG: RIA Channel Poses Opportunity, Challenge for Asset Managers
Jul 11, 2011
Given its size and growth, the registered investment advisor channel is a critical market for asset management firms who want to grow, according to a report released Monday by Boston Consulting Group. But the fragmentation of the RIA market also...
Cedar Brook Financial Partners’ Managing Principal, Azim Nakhooda, Celebrates 15th Year Anniversary
Jul 11, 2011
Investment strategist, Azim Nakhooda, has developed customized investment plans for hundreds of clients over the past 15 years.
The Art of Coaching
The Art of Coaching
Jul 11, 2011
Coaching is a pivotal part of any branch manager’s role as a leader—of course. Being truly effective at it can make all the difference in the morale and success of your branch office.
What To Do When You Smell a Storm Coming At Your B/d
Jul 08, 2011
When broker-dealers shut their doors, a lot of people suffer: home office staff, advisors, clients. The good news is, new technology and today’s 24-hour media cycle have put advisors in a much better position to sniff out trouble and to know...
AIG’s Advisor Group Kicks Open Door to Social Media For Reps
Jul 08, 2011
Advisor Group, a network of three independent broker/dealers which is a subsidiary of insurance firm AIG, launches an ambitious social media initiative Monday, allowing its more than 4,800 independent reps to, in many cases, post freely on Twitter...
A Cautionary Tale: How One Arbitration Can Topple A Firm
A Cautionary Tale: How One Arbitration Can Topple A Firm
Jul 08, 2011
With small independent broker/dealers blowing up left and right, it’s become that much more important to know what kind of compliance regime your firm has and who your colleagues are.
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