When SEC and State Advisor Regulation Collide
Section 222(d) of the Advisers Act cleared up those de minimis conflicts between federal and state regulation, right? Not exactly, Chris Stanley says.
The Rise of the Machines in Investment Management
Technology advances pose a threat to traditional investment managers, but successful firms will combine human judgment and creativity with computers’ analytical power.
To Move Your Stuck Firm Forward, First Step Back, Then Sell
When growth slows, focus on one service you provide, and then have everyone “sell” it, using these six steps for an effective sales pitch.
Does Client Philanthropy Pose a Conflict for AUM Advisors?
If your client reduces his assets under management through charitable giving or other means, does that make the flat-fee approach better for advisors?
Advisors Can Define the New Fiduciary Advisor/Client-Centric Paradigm
Five reasons why advisors will value Best Practices and participate in the Institute for the Fiduciary Standard's Registry of Fiduciary Advisors.
A Tool to Hedge Against the Next Market Downturn
MPT didn’t benefit client portfolios during the financial crisis, but using a single inverse fund can reduce the risks of market volatility.
Community Property: When Federal-State IRA Rules Collide
Sorting out the state community property rules and IRS rules on beneficiary designations in retirement accounts.
Harvard Does a Trade You Should Never Make
It looks like Harvard Management Co. may have sacrificed billions of dollars in investment returns by hiring less-capable asset managers.
Can Public Equity Investing Have Impact?
To have impact, we must recognize that equity investing can actually involve companies not found within traditional benchmarks.
SEC Actions on Private Equity Fees Show Agency's Enforcement Aim
In limited partnership or subscription agreements, Form ADVs or elsewhere, the SEC scrutinizes differences between what managers say they'd do and what they actually did.