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Financial Planning December 1, 2009 Donald B. Trone	Standing on Principle Broker-dealer senior management must move their organizations from a rules-based framework, which requires little standard of care, to a principles-based framework, which requires a high standard of care.
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.
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.
Financial Planning July 1, 2010 Marion Asnes	Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken.
Financial Advisor March 2012 David Lawrence	Consolidation Quickens Advisors are increasingly turning to others to increase service and decrease costs.
Financial Advisor September 2012 Jeff Schlegel	Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.
Financial Planning June 1, 2008 Philip Palaveev	Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship.
Financial Planning February 1, 2010 Marion Asnes	One Fee to Bind Them In 2009, broker-dealer Capital Analysts introduced a new flat-fee business model. So how's it going?
Registered Rep. September 3, 2009 Mindy Diamond	Talking To Clients About Breaking Away Here are some starting points for advisors to begin a conversation with clients about deciding to establish themselves as an RIA or joining an existing one.
On Wall Street July 1, 2009 Helen Kearney	The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own.
Financial Advisor October 2010 Scott A. MacKillop	One Standard, Period The debate over the fiduciary standard should be about clients - and it would be over in a heartbeat if it were.
Financial Planning November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
Financial Advisor August 2012 Karen DeMasters	The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.
Registered Rep. August 19, 2009 Christina Mucciolo	Haggling Over The F Word Continues Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the new fiduciary standard.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Financial Advisor January 2005 Tracey Longo	How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions.
Investment Advisor October 2007 Robert F. Keane	Transparency and Respect Full disclosure and a willingness to have the "hard conversations" are the cornerstones of Jim Dew's approach to his clients and the financial planning profession.
On Wall Street September 1, 2011 Nick Georgis	Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.
Investment Advisor December 2009 Kathleen M. McBride	B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.
Financial Advisor January 2006 Sydney LeBlanc	Embracing The F Word US Fiduciary offers a business model that is attracting ultra-high-end advisors who want to be fiduciaries.
Investment Advisor February 2010 Bob Clark	Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession.
Financial Planning August 1, 2010 Donna Mitchell	Who's Planning? A study by Boston-based AiteGroup found that only 18% of independent advisors make financial planning the center of their practice.
Financial Advisor May 2005 Raymond Fazzi	Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds.
Financial Planning June 1, 2007 Kathy Gevlin	Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
Financial Advisor March 2011 Jeff Schlegel	Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.
Financial Advisor August 2010 Raymond Fazzi	Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get.
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 June 2006 Bob Clark	Clark at Large: Reality Check A good exercise is to periodically examine the things we know to be true and explore why we think so. Here's a list of possible misconceptions financial advisors hold to be true: Client portfolios need international exposure... It doesn't matter what the other advisors do... etc.
Financial Planning September 1, 2007 Bob Veres	The Dual Reality The FSI and independent broker-dealer community have become pivotal voices in the profession. What they see in the future might surprise you.
Registered Rep. December 7, 2011 Philip Palaveev	The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts.
Financial Planning March 1, 2010 Donna Mitchell	More Plans for All A universal fiduciary standard could be great for consumers, but financial planners may get less benefit than they think.
Investment Advisor May 1, 2011 Kathleen McBride	SEC and the Fiduciary Study: Where Do We Go From Here? It's not whether to extend fiduciary duty, but how to extend it
Financial Planning June 1, 2008 Bob Veres	The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners.
Financial Planning June 1, 2008 John J Bowen Jr	Help From My Friends Here are some of the most important issues to consider when working with a financial institution.
Investment Advisor September 2010 James J. Green	Making the Connection: Communicating with Clients in Uncertain Times A panel of three top RIAs explains how they communicate with their clients in good times and bad, with a focus on the fiduciary issue
Financial Planning December 1, 2009 Kristina Fausti	Fiduciary Q and A Most advisors are still not clear on the issues regarding a fiduciary standard. Here are some Qs and As on the subject.
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.
Investment Advisor April 2009	Soapbox: How to Restore Trust If we want advisors to act in the best interest of clients, there should be a compensation system that offers them incentives them to do so.
On Wall Street December 1, 2009 Mark Astarita	Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make?
Registered Rep. May 23, 2011 Jodie Papike	Ninety-five Percent Payout? I Don't Think So The headline payout numbers offered by firms can often be quite misleading so it's not a bad idea to take a second look. There are typically a host of costs that cut into an advisor's net take-home pay, and these can add up.
Registered Rep. September 30, 2009 David A. Geracioti	Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled.
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?
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.
Financial Advisor October 2005 Chris Radford	Practice Management: What The Survey Doesn't Say Because there are no surefire business plans for success, it takes a unique combination for each financial advisor to find the "x-factor" -- that intangible number in every business opportunity that equals ultimate success.
Registered Rep. May 27, 2015 Megan Leonhardt	Compensation Survey 2015: Breaking Down the Practice Are the firms that serve advisors ready to support a team-based, ensemble model?
Financial Advisor April 2009 Jeff Schlegel	Fiduciary Fracas People from all corners of the financial services industry are weighing in with their ideas about the future shape of the industry, including thoughts about whether all financial advisors should be held to the fiduciary standard of client care.
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
Registered Rep. December 21, 2011 Diana Britton	Aite: Bloom Coming Off the Rose of Social Media? Financial advisors are just getting started, and already, the bloom seems to be coming off the rose, Aite Group says.
Financial Advisor November 2006 Tracey Longo	Is The Price Right? When it comes to pricing, many financial advisors are nowhere near as efficient and profitable as they could be.