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Investment Advisor
August 2007
Bob Clark |
Genius, Pure Genius Fake studies with unsound data and faulty conclusions put people who are trying to do the right thing on the wrong track. The problem is that for over a hundred years, the financial services industry has gotten away with a fraud: acting like "advisors" but being compensated as salespeople.   |
Investment Advisor
August 2005
Bob Clark |
Clark at Large: Why NAPFA Matters Can the future of financial planning really depend on folks who fudge their numbers? |
Investment Advisor
November 2007 |
Lines Limned by a "Letters" Lover Letters to the Editor: Broker/Dealer of the Year Correction... Spelling correction... |
Investment Advisor
June 2007
James J. Green |
A Level Playing Field An interview with NAPFA's Dick Bellmer on the group's consumer education campaign on fiduciary standards. |
Investment Advisor
June 2007 |
Fiduciary First of All Letters to the editor: Doing the Fiduciary Wiggle... Corrections... etc. |
Investment Advisor
July 2007 |
Shame, Shame on Us All! Letters to the editor: Mary Shapiro's Puff Piece... I Couldn't Have Said It Better... etc. |
Financial Advisor
March 2008
David Lawrence |
A Higher Standard It is incumbent on all financial advisors to acknowledge their potential role as a fiduciary and act accordingly where and when applicable. So, that leads to a question of just what a fiduciary does during a typical day. |
Financial Planning
September 1, 2008
Stacy Schultz |
5 Questions with Diahann Lassus A short interview with Diahann Lassus, the new chair of NAPFA. |
Investment Advisor
October 2009
James J. Green |
Catching Up With: Bill Baldwin A telephone interview with the editor-in-chief of this publication and the new chairman of NAPFA, Bill Baldwin. |
Investment Advisor
August 2005 |
Letters: Who're You Calling Radical? Rebels Without a Cause... Not So Fatal Attraction... It'll Go To Our Head... |
Investment Advisor
March 2008
Bob Clark |
The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule. |
Investment Advisor
February 2010 |
So You Want to Have a Profession? Bob Clark presents the following five standards that will clearly and unambiguously define a new profession of Independent Financial Advisors. |
Investment Advisor
February 2009
James J. Green |
Growth, and Advocacy A conversation with Diahann Lassus, NAPFA Chair, about NAPFA's growth, what the reaction will be in Washington to the Bernie Madoff scandal, and what NAPFA hopes to accomplish with the financial planning coalition. |
Financial Advisor
February 2006
Tracey Longo |
NAPFA: Holier Than Thou The chairwoman of the the small and once-feisty organization for fee-only financial advisors seeks balance between the group's rabble-rousing roots and concern for members. |
Registered Rep.
June 3, 2010
Kristen French |
For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before. |
Investment Advisor
February 2010 |
Soapbox: Here's What We Were Thinking The Financial Planning Coalition is glad to see Bob Clark's vociferous advocacy of a fiduciary standard of care for individuals who dispense financial planning advice, but not so glad of his inability to let go of the past. |
Investment Advisor
October 2007
K. McBride & K. Stapleton |
Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill. |
Registered Rep.
May 19, 2011
Diana Britton |
NAPFA Announces Rebranding Campaign, Plans to Become Leader in Financial Planning The fee-only business has evolved from what it was 10 years ago, and it was time for NAPFA to reflect that change in the business or it would risk becoming irrelevant. |
Financial Advisor
June 2010
Evan Simonoff |
Letter Letters To The Editor: Alternative investments... Restoring American Financial Stability Act of 2010... |
Investment Advisor
November 2009 |
The Soapbox: The Financial Planning Coalition Barks Back The Financial Planning Coalition responds to Bob Clark's October 2009 column on reregulation. |
Investment Advisor
March 2008
Melanie Waddell |
Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines? |
Registered Rep.
August 28, 2007
John Churchill |
SEC Principal Trade Proposal: A Stalling Tactic? A 2-year "interim rule" would allow large brokerage firms that also have many other business lines to meet their fiduciary obligations to customers while still engaging in principal trading activity -- selling customers products from their own inventory. |
Investment Advisor
November 2006 |
Tell Us How You Really Feel Letters to the editor: Board to Death: Reloaded.. At a conference near you... Corrections... |
Registered Rep.
March 16, 2012
Kristen French |
Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like. |
Investment Advisor
September 2005
Dan Danford |
The IA Soapbox: Sorry, Bob. They Still Don't Get it There is no such thing as incidental financial advice. Either financial planning is being done properly and in the sole interests of the client (as in fee-only) or it's just being used as a ploy to sell investment products. |
Financial Planning
July 1, 2013
Glenn G. Kautt |
For Fiduciary Advisors, the Courts Are Watching For fiduciary advisors, a decision by federal judges finding mismanagement of a company s 401(k) plan could have far-reaching consequences. |
Investment Advisor
February 2010
Bob Clark |
Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession. |
Registered Rep.
June 30, 2010
Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. |
Investment Advisor
October 2006
Melanie Waddell |
Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards. |
Investment Advisor
July 2008 |
Group Think The CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must provide to clients and prospective clients. |
Financial Planning
October 2, 2007
Michael Dubis |
The Fiduciary Test As a financial planner, are you really on your clients' side? Ask yourself some of these tough questions. |
Investment Advisor
October 2010
Melanie Waddell |
Obama Calls for End to Some Bush-Era Tax Cuts; Fiduciary Lobbying Continues Some experts see a tax deal in early 2011 |
Financial Advisor
December 2009
David Lawrence |
Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice. |
Investment Advisor
November 2005 |
Letters: Follow-up on Fiduciaries Acting like a fiduciary and agreeing in writing to serve in a fiduciary capacity are two entirely different things... Making It Alone... Corrections... |
Investment Advisor
July 2010
Bob Clark |
Clark At Large: Done Deal Even without a mandated fiduciary duty for all who give advice, the cat's out of the bag. |
Investment Advisor
July 2008
James J. Green |
NAPFA Asks Its Members to Get On the Bus The National Association of Personal Financial Advisors plans to begin a bus tour throughout the country to spread its message of prudent savings and financial literacy to consumers in 150 to 200 cities. |
Investment Advisor
July 2010
Robert F. Keane |
"NAPFA Is Back," Says Group's Chair Fee-only planners gather in Chicago and announce new leadership |
Investment Advisor
May 2007
Bob Clark |
We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC. |
Financial Advisor
November 2005
Tracey Longo |
The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule. |
Investment Advisor
June 2009
Angela Herbers |
The Fast Track: Letting Go Success comes from helping advisors determine what they and their firms do best, and then custom-building a practice to maximize those skills. |
Investment Advisor
August 2009
Robert F. Keane |
Fiduciary to the Forefront Industry leaders, associations, regulators, and consumer advocates call for one fiduciary standard for all. |
Investment Advisor
July 2006 |
Group Think Starting July 1, NAPFA will launch its "Focus on Fiduciary" campaign... A recent member-wide survey of the FPA found that its members believe that financial planners should be held to a fiduciary standard.... etc. |
On Wall Street
July 1, 2010
Frances A. McMorris |
Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate. |
Investment Advisor
October 2010
Melanie Waddell |
Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective. |
Financial Advisor
March 2012
Donald B. Trone |
Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry. |
Registered Rep.
April 1, 2007 |
Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago. |
Financial Advisor
June 2012
Jim McConville |
Napfa Elects New Chair, Launches Web Sites The National Association of Personal Financial Advisors has tapped Ron Rhoades to succeed Susan John as chairman of the fee-only planners group. |
Financial Advisor
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
Investment Advisor
January 2010
Bob Clark |
Clark at Large: The Riddle of the CFP Board Have you ever wondered what those folks at the Certified Financial Planning Board are thinking? |
Investment Advisor
May 2010
Melanie Waddell |
Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind. |
