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Financial Advisor
November 2009 |
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more...   |
Financial Advisor
May 2004 |
Frontline News Saving for college costs through 529 plans is a strategy that's gotten a lot of attention from advisors and their clients during the past few years. Lately, however, the investment vehicles are undergoing a different type of scrutiny: investigations by regulators. |
Financial Advisor
April 1, 2010 |
Frontline News Advisor news: Is Your Client's Private Info Secure?... Hybrid Brokerages Shine Light On New Space... CFP Aspirants Need A Plan... Wanted: Silver Bullet For Retirement Income... more... |
Financial Advisor
November 2008 |
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc. |
Financial Advisor
January 2012
Bruce W. Fraser |
Full Steam Ahead What could have been a sad chapter for Securities America now seems to be a new lease on life for the firm. |
Financial Advisor
December 2009
Sherri Scordo |
Frontline News Financial sector news: Financial Services Overhaul Getting Closer... McCann Making Mark At UBS... Main Street Securities B-D Now With National Planning... Small B-Ds Could Face Large Audit Costs... more... |
Financial Advisor
June 2009
Sherri Scordo |
Frontline News A consortium of leading financial advisory trade organizations is calling for a professional standards-setting oversight board to establish financial planning standards for the industry. |
Financial Advisor
July 2011 |
Frontline News Advisors Using Fewer Asset Managers... The New CFPs... Avoid The Analyst Herd... etc. |
Financial Advisor
October 2010 |
Frontline News New SEC requirements that financial advisors create a plain-English version of Form ADV Part 2... Fiduciary Standard Lobbying Season... Does Schwab's Purchase Of An RIA Portend A New Trend?... etc. |
| Financial Advisor |
Frontline News Independent B-Ds Inside... States Gear Up To Examine More Advisors... IRS To Regulate All Tax Preparers... Guggenheim To Buy Security Benefit... RIA M&A Activity Down In '09... Majority Of Advisors See Growth In '10... more... |
Financial Advisor
September 2008 |
Frontline News News of interest to the financial services industry: M&A Talks Hit Many Roadblocks... Ameriprise Buys H&R Block's Advisor Business... Morningstar Buys Developer Of dbCAMS+... Securities America To Buy Brecek & Young... etc. |
Financial Advisor
August 2, 2010 |
Frontline News Advisor News: Gulf of Uncertainty... Small Broker-Dealer Market Shrinking... FINRA Issued More Fines, Disciplinary Actions in '09... Advisors Expect Revenue Rise In '10... Annuities Could Gain Traction In 401(k) Plans... |
Financial Advisor
July 2008 |
Frontline News News of interest to the financial community: CFP Board's New Conduct Standards... SEC Examining More RIAs... Advisors Await Word On New Privacy Regulations... First Western Buys Fourth RIA Firm, Doubles Size...etc. |
Investment Advisor
October 2008
Bob Clark |
The Real Deal MarketCounsel is focused on taking the independent advisory model to the next level. |
Financial Advisor
June 2011 |
Frontline News Stories from June 2011 Frontline News: The Advent Purchase Of Black Diamond... Two Takes On RIA M&A Activity... Forum Gives First Ever Innovation Award To Putnam... more... |
Financial Planning
January 1, 2012
Donna Mitchell |
Hot Topics SEC enforcement actions... Heartland hails dividends... Regulatory changes & volatility top concerns for retirement advisors... |
Financial Advisor
June 3, 2010 |
Frontline News Advisor news: Threshold Rising... Staying Healthy May Cost You In Retirement... SEC Looks To Update ADV Part II... IRS Sets Sights On The Very Wealthy... more... |
Financial Planning
July 1, 2011
Donna Mitchell |
Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value. |
Financial Advisor
October 2011 |
Frontline News Independent Advisors On The Rise... Uncertain Times For BofA Advisors... Gen Y Good Target For Advisors... etc. |
Financial Advisor
December 2010 |
Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc. |
Financial Advisor
December 2007 |
Frontline News Kochis Fitz To Merge With Quintile... Practicing The Best Practices... United Capital Buys Four Advisory Firms... Herd Mentality Linked With Keeping Up With The Joneses... etc. |
Registered Rep.
June 29, 2010
Halah Touryalai |
The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level. |
Investment Advisor
July 2010
Lewis Schiff |
Succession Planning: Buying and Selling Wealth Management Practices 2010 could be the biggest year ever for mergers and acquisitions in the financial advisory industry, but the players and strategies are different than they were prior to the market turndown. |
On Wall Street
June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more. |
| Financial Advisor |
Frontline News News of interest to advisors: Clients want insured investments... Francais succeeds Kochis as Aspiriant CEO... Financial Planning Association's Top Lobbyist Stepping Down... New Web sites keep advisors honest... more... |
Investment Advisor
January 1, 2011
Melanie Waddell |
FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors. |
Financial Advisor
July 2009
Eric Rasmussen |
Surviving The Storm Account sizes, staff and profits have shrunk, but far more firms gained clients than lost them. |
Financial Advisor
November 2009
Bruce W. Fraser |
Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world. |
Financial Advisor
July 6, 2010 |
Frontline News LPL IPO: Whoopee Or Big Whoop?... The UnCOLA... Doomsday Investing... Canadian Advisors Ranked Low On Ethics... more... |
Investment Advisor
March 2010
James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. |
Financial Planning
December 1, 2010
Donna Mitchell |
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers. |
Registered Rep.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
Financial Advisor
November 2009
Jeff Schlegel |
The Great Debate Financial services reform is coming. How will it impact advisors? |
Investment Advisor
March 2009
Melanie Waddell |
Cover Story: Patience In the quest to generate retirement income for their clients, many advisors relied on their investing-for-accumulation roots, and therefore were not focused on retirement income planning. |
Financial Advisor
May 2011
Sherri Scordo |
Frontline News Is the broker protocol being eroded... Fiduciary can be marketing tool to get high net worth clients... Americans unconfident about their retirement... |
Financial Advisor
January 2012 |
Frontline News Advisors who want to recruit Gen X and Gen Y members as clients should look to the children of their existing clients who are in or near retirement. |
On Wall Street
November 1, 2010
Gallant & Schneider |
Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable. |
Financial Advisor
May 2007
Eric Rasmussen |
What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs. |
Financial Planning
May 1, 2006
Donald Jay Korn |
Doling out the Bounty Financial planners have many more investment vehicles to choose from as mutual funds, SMAs and ETFs compete for their assets. While planners have their preferences, new kinds of accounts make it easier to devote some money to each. |
Financial Advisor
October 2008 |
Frontline News News: Wall Street Meltdown Could Swell RIA Ranks... Citigroup Defection Illustrates Talent Flight To RIAs... Merger Creates $1 Billion Fee-Only RIA Firm... Boosting Retirement Savings Longevity... Is The Commodities Party Over?... Hometown Investing Can Spoil A Portfolio... |
Financial Advisor
September 2010 |
Frontline News Frontline News: Advisory Industry Faces Talent Shortage... Rule Change Could Crimp Alternative-Oriented '40 Act Funds... FPA Announces Heart Of Financial Planning Award Winners... more... |
Financial Advisor
November 2010 |
Frontline News Transparency comes to 401(k) fees... RIA to expand by offering advisors ownership stake... States getting ready for advisor oversight... Advising celebrities can be more pain than pizazz... Aspiriant buys Deloitte Investment Advisors... |
Financial Planning
April 1, 2012
Reed et al. |
Hot Topics Most nonindependent advisors see greater shift to RIA model... Investing in TICs? Proceed with caution ... Advisory fees inch up, at least on the high end... |
Financial Advisor
November 2007 |
Frontline News CFP Board Picks New Chief Of Exams And Education... Are Regulators Losing Their Mojo?... Gingrich, Ford: Save New York City... Staffing -- Not Clients or Revenues -- Is Advisors' Big Challenge... etc. |
Investment Advisor
January 2010
Melanie Waddell |
Retirement Planning: Retirement Income a Riddle Advisors are still searching for best method to deliver retirement income. |
Financial Advisor
March 2011
Jeff Schlegel |
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted. |
Investment Advisor
August 2005
Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. |
Investment Advisor
November 2006 |
Now and Then When it comes to plowing through the complexities that are associated with retirement planning, advisors need all the help they can get. Fidelity looks ahead to dominate retirement planning now. |
Financial Advisor
June 2008 |
Frontline News News: As the number of financial advisory players shrinks, recruiting intensifies... Pomering to run Moss Adams' RIA unit... Pershing advisor solutions sets exec committee... Larger taxable distributions on mutual funds... etc. |
Financial Planning
May 1, 2007
Donald Jay Korn |
The Right Package Fee-based asset management accounts have reached the trillion-dollar level. Some financial planners are finding new flexibility in these packaged deals. |
