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Registered Rep.
September 2, 2009
Halah Touryalai |
SEC Says Careful With Your Recruiting Bonus The SEC sends a warning to broker/dealer executives about the recruiting bonuses they pay to advisors, saying they could encourage advisors to do things that are not in their clients' best interests.   |
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. |
BusinessWeek
June 6, 2005
Anne Tergesen |
A Fee Frenzy At Hedge Funds Add in extra charges for items such as audits, account administration, and trader bonuses, and the average hedge-fund investor pays as much as 3.5% of assets a year. |
Investment Advisor
October 2006
Melanie Waddell |
A Boon For Hedge Funds? The new Pension Act makes it easier for pension funds to invest in hedge funds. |
Financial Advisor
February 2007
Thomas M. Kostigen |
Firm Offers Reps Their Own Hedge Funds Independent broker-dealer First Allied's program raises questions about risk and conflicts. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
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... |
On Wall Street
October 1, 2013
Alix Stuart |
A Social Media Presence May Enhance Business Now that advisors are (finally) allowed to use it, social media is finding its place in the marketing arsenal. |
On Wall Street
May 1, 2013
Bill Willis |
How Advisors Can Prepare for Compensation Disclosure Rule New rules to disclose recruitment compensation may be blooming soon. |
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. |
Financial Planning
April 1, 2012
Bob Veres |
21st Century Regulation What is the best way to regulate fiduciary RIAs? How best can we identify and weed out bad apples and better protect consumers in the process? |
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
September 2011 |
Frontline News Laboring Over A Fiduciary Standard... Advisory/Brokerage Industry Still Climbing Out Of Meltdown Wreckage... Compliance Hot Spots... etc. |
Registered Rep.
November 30, 2012
Diana Britton |
Withering Wirehouses? Not Quite. Many industry propellerheads have forecasted an exodus of wirehouse advisors to the independent channel as retention bonuses unwind this year. |
Financial Advisor
November 2009
Bruce W. Fraser |
Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world. |
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. |
Investment Advisor
October 2007
P. Palaveev & D. Inveen |
Grow Your Own The biggest-ever Moss Adams Compensation and Staffing Study finds client demand is outpacing talent supply in the financial advisory industry. |
Registered Rep.
November 1, 2005
John Churchill |
I Want To Be Like Julian (Robertson) Retail financial advisors turned hedge fund titans aren't well represented in the hedge fund business. There are some notable exceptions, like fund manager Julian Robertson, the founder of Tiger Management, one of the best-known hedge fund complexes ever. |
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
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
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
February 2008
Angela Herbers |
Barring the Door How to stop training your (future) competition. |
Registered Rep.
June 1, 2004
David A. Gaffen |
Shaking the Tree It's no secret that most firms are frequently looking for well-established producers, financial advisors who have been making big bucks for a decade or more. Top brass always relishes bagging an elephant from another firm. |
Financial Advisor
April 2009 |
Frontline News Fiduciary Fracas... LPL Seeing Explosive Recruiting Growth... A Swiss Miss... Millionaire Population Shrinks in '08... Correlation Overpowers Diversification... Another Downturn Casualty: Divorce... |
Financial Advisor
June 2005
Eric L. Reiner |
Insurance Companies Work Hedge Funds Into Their Act Wrapping hedge funds in private life or annuity products affords tax deferral, or in the case of insurance, tax-free gains via the death benefit. |
Registered Rep.
November 15, 2010
Diana Britton |
How One Wealth Management Firm Intends To Grow Amid Competition At a time when recruitment activity in the independent broker/dealer channel has slowed, Capital Guardian Wealth Management, a hybrid firm, is undergoing a major growth initiative, with plans to add 15 advisors by year-end. |
Wall Street & Technology
February 14, 2006 |
Hedgies Open Their Wallets A new survey finding reflects the large camp of hedge fund managers that believes new SEC registration rules are only the first step in a broader regulatory framework envisioned by the SEC. |
On Wall Street
February 1, 2011
Lorie Konish |
Will Advisors' Game Of Musical Chairs End Soon? The market crisis that began several years prompted a frantic game of musical chairs as firms and advisors sought their most competitive matches. |
Wall Street & Technology
January 5, 2005
Maria Santos |
The Cost of Compliance The U.S. Securities and Exchange Commission has come under scrutiny again following the adoption of a recent rule regarding hedge funds. |
Registered Rep.
September 1, 2005
David A. Geracioti |
You Say, They Say In an industry survey that covered a range of issues, from estate planning to choice of investment products, the responses by wealthy clients and advisors showed a striking disconnect about the needs of high-net-worth individuals. |
Investment Advisor
January 2007
Jeff Joseph |
An Advisor Source for Alternatives Although hedge funds have historically been (and continue to be) the domain of the high-net-worth and ultra-HNW investor, the investment advisors that aspire to counsel this demographic have been slow to embrace these strategies in their own practices and portfolios. |
Investment Advisor
June 2008
Angela Herbers |
Blue Chips A once in a lifetime opportunity exists for advisors to attract professional talent in a down market. |
Registered Rep.
May 2, 2007
Kevin Burke |
It's Not About the Money The firms that have the highest number of satisfied financial advisors aren't necessarily the ones with the highest-paid financial advisors. Industry experts say that what really drives advisors to jump is friction with a supervisor. |
Investment Advisor
December 2005
Savita Iyer |
Transatlantic Teachers Hedge funds are big news in the U.S., but old news in Europe. What can we learn from Europe's approach to hedge funds? |
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
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 Planning
October 1, 2008
Stacy Schultz |
What's the Alternative? Bank of America Alternative Investment Solutions studies high-net- worth investors' attitudes toward alternative investments. |
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 |
On Wall Street
June 1, 2013
Braswell & Konish |
Leaders: Ranking the Top Wirehouses and Regional Broker-Dealers This year, the leading wirehouse and regional wealth management firms took the steps necessary to ensure they reap rewards as markets hit new highs. |
On Wall Street
March 1, 2010
Helen Kearney |
Compensation 2010 Your definitive guide to the changes in advisor compensation across the industry. |
Registered Rep.
December 2, 2004
John Churchill |
SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew? |
The Motley Fool
November 21, 2008
Rich Duprey |
Hedge Funds Ask: Where's the Love? It's been a long, strange trip since the hedge fund industry's summer-of-love confab. |
Registered Rep.
March 1, 2005
Neil O'Hara |
Dearth of Easy Pickings? Now that retail investors are able to partake of hedge funds in unprecedented numbers, some are calling hedge investing a bubble about to be popped... Largest SEC Registered Funds of Funds... Hedge Fund Index Performance... |
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. |
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 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. |
On Wall Street
March 1, 2011
Conrad & Konish |
Compensation 2011 While recruiting packages generate a lot of interest, the actual pay that advisors receive from their firms doesn't get as much attention. So once again, On Wall Street has sifted through the payout grids in our industry for a unique comparison of their pay packages. |
Investment Advisor
August 2006
Melanie Waddell |
The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down. |
On Wall Street
October 1, 2009
Elizabeth Wine |
Hedge Funds: Are They Worth It? Strategists in the wirehouses and elsewhere say hedge funds were wrongly maligned, and that the good funds can still serve the purpose of diversifying a portfolio and reducing risk. |
The Motley Fool
February 18, 2009
Morgan Housel |
Party's Over, Wall Street Nestled inside the $787 billion stimulus bill are a handful of provisions that ended the raucous payday party Wall Street's enjoyed for years. Read on for the most significant. |
